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2018

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September 07, 2018 Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations
August 07, 2018 Compliance Officer Claims Retaliation in Firing from Purshe Kaplan Sterling After Reporting Alt Investment Red Flags to FINRA
December 22, 2018 Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading
December 19, 2018 FINRA and SEC Launch Investigation of GPB Capital Holdings
December 18, 2018 Annemarie Thomas Suspended for Facilitating Wire Without Proper Authorization
December 17, 2018 Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018
December 10, 2018 FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations
December 07, 2018 Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit
December 02, 2018 Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
November 29, 2018 Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme
November 27, 2018 Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
November 20, 2018 Robert Basile Arrested, Barred For Stealing $130,000 from Elderly Client-His Mother
November 14, 2018 Michael Scott Livermore Sanctioned for Failing to Report Felonies
November 09, 2018 Morningstar's List of 20 Worst Performing Active Mutual Funds
November 06, 2018 Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies
November 02, 2018 David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation
October 31, 2018 Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm
October 24, 2018 John Simoncic Barred for Churning Retirement Accounts with VIX ETF
October 20, 2018 SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme
October 18, 2018 Andrew Mandell Barred for Refusing to Appear During Investigation
October 17, 2018 Joshua R. Jones fomerly of JP Morgan Sanctioned for Check Kiting
October 15, 2018 Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial
October 11, 2018 Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers
October 10, 2018 Daniel Kittner Suspended for 700 Unauthorized Discretionary Trades
October 05, 2018 IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent
September 29, 2018 Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients
September 21, 2018 FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License
September 19, 2018 UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis
September 17, 2018 Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred
September 15, 2018 Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation
September 11, 2018 HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation
September 10, 2018 Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme
September 06, 2018 Lincoln Investment Planning Sanctioned for Failing to Apply Sales Charge Discounts to Eligible Retirement Customers
August 27, 2018 Ex-Wells Fargo Broker Joseph Eschleman Sanctioned for Unauthorized Use of Discretion
August 23, 2018 Massive Woodbridge Fraud Grows as 5 Charged With Selling $243 Million of Ponzi Product to 1,600 Investors
August 22, 2018 Merrill Lynch to Pay $8.9 Million to SEC for Failing to Disclose Conflict of Interest
August 21, 2018 SEC Bars BKS Advisors' Roger Denha for Fraudulent Cherry-Picking Trade Allocation Scheme
August 16, 2018 SEC Issues Ameriprise Financial Cease-and-Desist Order over Failure to Detect Misappropriation and Fraud
August 14, 2018 StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices
August 09, 2018 Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website
August 08, 2018 Former Transamerica Broker Roy Gaytan Sanctioned for Discretionary Trading Violations
August 01, 2018 Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions
July 26, 2018 National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct
July 24, 2018 FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations
July 19, 2018 Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme
July 18, 2018 Financial, Energy Sectors Feature in 10 Funds with Largest Losses in First Half of 2018
July 17, 2018 Michael Gilhooly Barred for Refusal to Appear during Investigation
July 11, 2018 Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds
July 09, 2018 IFG's Dennis Contrestano Cited for Unauthorized Transactions at Prior Firm RBC
July 05, 2018 Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
June 26, 2018 Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges
June 22, 2018 Online Investment Firm Betterment Fined $400,000 for Violating Customer Protection Rule
June 14, 2018 LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client
November 03, 2018 LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud
July 12, 2018 FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
July 06, 2018 After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP
July 02, 2018 Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
June 29, 2018 Brian Sung Hyun Sanctioned for Undisclosed Marijuana Consulting Outside Business Activities
June 12, 2018 Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation
June 11, 2018 Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients
June 08, 2018 $1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought
June 06, 2018 John Douglas Wade Barred for Converting $100k from Bancorp Customers
June 05, 2018 Losses in LJM Partners' Funds Spotlight Suitability, Risk Management in Complex Mutual Funds
June 04, 2018 FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity
June 03, 2018 Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts
June 01, 2018 Leona Parsons Barred After Investigation into Improper Withdrawals, Withholding Money from Client
May 29, 2018 James Edward Knee Barred, Arrested for Theft from Elderly Client
May 25, 2018 FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations
May 25, 2018 DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers
May 22, 2018 SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills
May 21, 2018 Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk
May 18, 2018 Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline
May 16, 2018 Credit Suisse CEO Warned Unsophisticated Investors Not to Invest in XIV as Lawsuit Alleges Fraud
May 14, 2018 SEC Warned of Volatility-Linked Exchange-Traded Notes' Complexity Before XIV Crash
May 12, 2018 Wells Fargo Survey Finds Two-Thirds of Financial Crimes Against Elderly Are Committed By Trusted Individuals
May 11, 2018 'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk
May 10, 2018 Revised FINRA Sanction Guidelines Increase Penalties for Brokers with More Complaints
May 09, 2018 Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures
May 08, 2018 Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities
May 07, 2018 Joseph Pratte Barred After Outside Business Activities Investigation
May 02, 2018 James and Lorraine Conaway Sanctioned for Real Estate Outside Business Activity Violations, Disclose Failures
April 30, 2018 Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name
April 27, 2018 Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations
April 26, 2018 OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final
April 20, 2018 FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
April 18, 2018 Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security
April 17, 2018 Dallas York Barred for Refusing to Cooperate with Investigation into Unauthorized Withdrawal of Customer Funds
April 16, 2018 Kevin J Lee Barred Following Investigation into Undisclosed Business Activity
April 13, 2018 Park Avenue Securities Fined $300,000 in Variable Annuities Supervision Investigation
April 11, 2018 Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi
April 10, 2018 Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
April 05, 2018 Laura Ortega Shean Barred for Converting $124,000 in Client Funds to Pay Personal Tax Bills
April 03, 2018 In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation
March 28, 2018 SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme
March 27, 2018 Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction
March 22, 2018 Phillip Tibbetts Fined & Suspended for Accepting Unauthorized Loan from Customer
March 21, 2018 SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures
March 19, 2018 Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm
March 16, 2018 David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award
March 15, 2018 Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley
March 14, 2018 Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations
March 13, 2018 Study: Fidelity Increased Risk for 6 Million Retirement Savers
March 06, 2018 DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations
March 05, 2018 Merrill Lynch Fires Christopher Hibbard after Investigation Uncovers Alleged Theft
February 27, 2018 SEC Charges Joseph Bronson's Strong Investment Management with Cherry Picking Fraud, Misrepresentation
February 22, 2018 Darrell Rideaux Barred During Investigation into Selling Away Allegations
February 20, 2018 Credit Suisse Execs Had Secretaries Complete Training for Them, Records Show
February 19, 2018 Volatility Funds Take a Dive - VelocityShares, ProShares VIX Round Out Worst Performing Volatility ETPs
February 16, 2018 Regulator Charges Scottrade with Fiduciary Duty Rule Violation in Retirement Sales Contest Controversy
February 15, 2018 Newbridge Could Face Philadelphia Public Employee Suits Alleging Millions in Damages
February 14, 2018 SEC Fines Deutsche Bank Securities $4.45 Million for Misleading Mortgage-Backed Securities Sales
February 13, 2018 Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck
February 12, 2018 Wedbush Fined $1.5 Million Over Customer Protection and Supervisory Failures
February 08, 2018 Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls
February 07, 2018 FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge
February 06, 2018 Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds
February 05, 2018 SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint
January 31, 2018 FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
January 30, 2018 JP Morgan's Farid Morim Barred After Conversion Investigation
January 27, 2018 SEC Charges Woodbridge Group of Companies in 'Massive' $1.2 Billion Ponzi Scheme Targeting 8,400 Investors
January 26, 2018 Joseph Farah Barred for Unsuitable and Excessive Trading, Undisclosed Outside Business Activity, and Misrepresentations
January 25, 2018 Ameriprise's Lorene Fairbanks Sanctioned for Unauthorized Loan from Customer, Violative Text Messages
January 25, 2018 Charles Dixon Barred After Termination from Morgan Stanley for Unauthorized Trading
January 22, 2018 Sandeep Varma Cited for Misleading Estate Planning Seminar Communications
January 19, 2018 Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy
January 19, 2018 FINRA Bars Matthew Kerby After Allegations He Converted Elderly Client's Funds for Personal Use
January 17, 2018 Linked to Dawn Bennett $20 Million Fraud Investigation, FINRA Bars Bradley Mascho for Failing to Cooperate
January 16, 2018 Punished by California Bureau of Real Estate, Guillermo Valladolid Barred for Undisclosed Outside Business Activity
January 16, 2018 FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin
January 10, 2018 Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives
January 09, 2018 Citigroup Sanctioned $11.5 Million for Displaying Inaccurate Equity Research Ratings, Such as "Buy" When the Firm Meant "Sell"
January 08, 2018 John William Bernard Sanctioned for Unauthorized Exercise of Discretion at LPL Financial
January 05, 2018 Raymond James Fined $2 Million for Failing to Supervise E-mail Communications
January 04, 2018 JP Morgan Fined $2.8 Million for Customer Protection Deficiencies, Flawed Systems, and Supervisory Failures
January 04, 2018 Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule
January 02, 2018 Merrill Lynch Continues Choice-of-Law Provisions Despite of Industry Discipline and Admonishment

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