August

Posts in August, 2016

Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading Aug 30
A complaint filed against Christopher Basile Ariola, formerly of Bay Mutual Financial in Santa ...
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SEC Fines 13 Firm $2.2 Million for Repeating False ETF Claims by F-Squared Investments Aug 25
The SEC ordered 13 advisory firms to pay a total of $2.2 million for spreading false claims ...
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Ex-LPL Financial & Crown Capital Broker Eric Kuchel Barred After Failing to Cooperate with Mutual Fund Investigation Aug 24
FINRA barred Eric William Kuchel, formerly of LPL Financial LLC and Crown Capital Securities, LP ...
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$150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing Aug 23
A former Morgan Stanley 401(k) plan participant filed a lawsuit against the firm, alleging that its ...
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Morgan Stanley to Pay $4.7 Million for Failure to Supervise Broker's Unauthorized Trading, Settlement to Include Dimes-on-the-Dollar Payment to Burned Clients Aug 22
Mississippi's Securities Division reached a settlement with Morgan Stanley over a multi-year ...
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Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry Aug 13
Eight months after The Law Offices of Jonathan W. Evans & Associates filed an arbitration claim ...
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