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June 29, 2012 Investing on Margin Carries Additional Risks and May Result in Unintended Consequences
June 28, 2012 Tsarina Lau Branyan Fined & Suspended for Unlicensed Sales of Securities
June 27, 2012 Michael D. Montgomery Pleads Guilty to Wire Fraud, Client's Loss Over $1 Million
June 26, 2012 With New 401(k) Disclosure Requirement, Investors Should Review 401(k) Plan to Determine Fees Charged
June 24, 2012 All About BrokerCheck, FINRA's Free Background Check for Your Financial Advisor
June 24, 2012 UVEST Financial Fined, Forced to Pay Remediation After Overcharging Customer
June 24, 2012 Freedom Investors Corp. Fined & Brokers Suspended for Unsuitable Penny Stock Recommendations
June 21, 2012 Merrill Lynch Fined $2.8 Million for Overcharging Customers $32 Million in Fees
June 20, 2012 John Brady Guyette Suspended & Fined for Fraudulent Misrepresentations in Recommending Investment Options
June 20, 2012 Daniel Edward Becerril II Barred from Securities Industry After Orchestrating Fraudulent Scheme
June 20, 2012 Michael Douglas Venable Barred for Multiple Violations Related to Sales of ETFs
June 19, 2012 Ivan Serge Obolensky, Jr. Barred for Failure to Answer FINRA Inquiry Regarding Unsuitable Investments
June 15, 2012 Merrill Lynch Fined $450,000 for Poor Supervisory System Related to Structured Products
June 13, 2012 John Farahi of NewPoint Financial Pleads Guilty to $20+ Million Ponzi Scheme
June 11, 2012 Russell Kent Childs Suspended and Ordered to Pay Restitution for Improper Charges
June 11, 2012 Brookstone Securities Fined $1 Million, CEO Antony Turbeville Barred for Fraudulent Sales of CMOs to Elderly Clients
June 07, 2012 Oppenheimer to Pay $35 Million for Misleading Investors During Financial Crisis
June 06, 2012 Yong "Michael" Chen Fined, Suspended for Failure to Report Outside Business Activities
June 05, 2012 Stifel, Nicolaus & Company Fined, Ordered to Pay Restitution Totaling $600,000