Securities Fraud Blog

Recent News

While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales Mar 26
Calton & Associates president Dwayne Calton said in a March 2021 interview that the firm anticipates ...
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The Logan Group Securities Cited for Multi-Share Class Variable Annuity Violations Mar 25
FINRA fined and censured The Logan Group of Roseville, California for failing to establish, ...
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JP Morgan Broker Trevor Rahn Disciplined for Unauthorized Trading, Improper Discretion, and Mismarking Solicited Orders Mar 23
FINRA fined and suspended former JP Morgan Securities Managing Director Trevor Bradner Rahn of the ...
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Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures Mar 22
FINRA censured Growth Capital Services of San Francisco, California and fined the firm $35,000 for ...
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Whitehall-Parker Securities, Robert James Yuloo Cited for Failing to Supervise Broker Who Sold Fraudulent Woodbridge Ponzi Scheme Products Mar 18
FINRA fined and suspended Whitehall-Parker Securities (San Rafael, California) principal Robert ...
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Advisor Group Firms, including Royal Alliance Increase Budgets for Legal and Regulatory Issues Mar 12
Three Advisor Group broker-dealers—Royal Alliance Associates, SagePoint Financial, and FSC ...
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