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Clear All
November 05, 2019
SEC Bars James Booth (Ex-LPL Financial) Over $5 Million Ponzi Scheme Victimizing Elderly Clients
September 03, 2019
UBS' Yield Enhancement Strategy Harming Low-Risk Investors Who Say No to YES
July 26, 2019
GPB Capital Sued for Alleged Serious Financial Misconduct
January 25, 2019
Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
January 07, 2019
John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud
July 16, 2019
Convicted Fraudster Daniel Vazquez Gets Prison for Swindling Seniors Out of $2.6 Million
July 05, 2019
SEC Complaint Names LPL Financial Ex-Broker Kerry Lee Hoffman Alongside Fraudster Thomas Conwell
July 02, 2019
Dunkerley Named in $43 Million Dollar Fraud Scheme Tied to LAFC Soccer Team Owner
June 26, 2019
Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements
June 25, 2019
Profits Before People - GPB Capital Paid High Commissions to Sell Troubled Products
June 25, 2019
FINRA Fines Edward Jones for Underreporting Complaints, Damages
June 20, 2019
Wedbush's Latest Penalty is an $8.1 Million SEC Fine for Improper Handling of ADRs
June 18, 2019
Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client
June 17, 2019
Barred San Diego Broker Harry Couglar Suspended by CFP Board
June 14, 2019
Cryptocurrency Business Places Kyung Soo Kim in Hot Water
June 13, 2019
Nina Jessee Latest Cetera Advisors Broker Barred by FINRA
June 06, 2019
Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading
May 28, 2019
Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse
May 07, 2019
Michael ("Mikey") Tanha Cited for Outside Business Activities, Private Securities Transactions
May 04, 2019
Kajo Movsesian Barred After Review into Conduct Inconsistent with Merrill Lynch Standards
May 03, 2019
Jamie Bennett Sanctioned for Failing to Review E-mails, Use of Outside E-mail Address
April 24, 2019
Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures
April 22, 2019
Sarah Banon Barred for Failing to Cooperate with Investigation
April 18, 2019
John Ernst Sanctioned for Ponzi-Laden Woodbridge Note Sales
April 16, 2019
Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct
April 13, 2019
FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations
April 10, 2019
Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct
April 01, 2019
Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations
March 31, 2019
Ranking the 20 Large-Cap Mutual Funds and ETFs with the Worst One-Year Returns
March 29, 2019
JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme
March 27, 2019
Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)
March 26, 2019
Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study
March 20, 2019
Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds
March 19, 2019
Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients
March 15, 2019
NAC Affirms Amerprise Broker Jim Jinkook Seol's EB-5 Private Securities Transactions and Outside Business Activities Bar
March 14, 2019
Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump Fraud
March 13, 2019
Sigma Financial Sanctioned for Deficient Non-Traditional ETF Supervisory System
March 11, 2019
SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud
February 25, 2019
John Spach Barred for Trying to Settle Complaint Away from Firm
February 20, 2019
Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud
February 19, 2019
Michael Rappa Barred for $2.7 Million-worth of Woodbridge Ponzi Transactions
February 15, 2019
20 Worst Bond Fund Returns of 2018 Feature Debt & Emerging Market Funds
February 13, 2019
Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital
February 05, 2019
Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study
January 23, 2019
FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
January 22, 2019
FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final
January 18, 2019
Nicholas Maddox Barred for Failing to Answer FINRA Questions
January 17, 2019
Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents
January 15, 2019
Paul Wishingrad Sanctioned for Unauthorized Use of Discretion in UBS Client Accounts
January 11, 2019
Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme
January 03, 2019
2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks
December 31, 2019
Hicks Latest Broker Accused of Unsuitable High-Risk REIT and BDC Sales to Senior Citizen Investors
December 21, 2019
Francisco Valenzuela Cited for Failing to Disclose Lien
December 18, 2019
CUSO Financial Services' Gerald Coyne Latest Firm Rep Sanctioned After VA Investigation
December 05, 2019
Eugene Gordon Cited for Allowing Wife's Unauthorized Withdrawals From Morgan Stanley Client's Account
December 02, 2019
SEC Bars Securities America Broker Ronald J Roach over $1 Billion DC Solar Fraud and Ponzi Scheme
November 20, 2019
FINRA Bars Julie Ann Mineard for Unauthorized Transfer of Funds into Her Own Personal Bank Accounts
November 12, 2019
FINRA Bars Jun 'Justine' Zhou Over Private Real Estate Transactions
November 08, 2019
Cetera's Christopher Kozak Suspended for Undisclosed Outside Business Activity with Nutrition Bar Investments
October 31, 2019
Ami Forte & Charles Lawrence Barred for Churning Dementia-Laden Elderly Client's Account
October 25, 2019
Environmental Lawyers' Warning of Conservation Easement Investments, Penalties for Abuse of Federal Tax Code
October 24, 2019
JP Morgan Fined $1.1 Million for Failing to Tell FINRA About 89 Broker Misconduct Allegations
October 17, 2019
Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
October 16, 2019
Broker John Charles Wyshak Ordered to Pay Nearly $1 Million Over Churning Allegations at Raymond James
October 15, 2019
Newbridge Fined $225,000 for Complex Securities, ETF Supervision Failures
October 08, 2019
IFG Broker Martin Batstone Accused of Fraud, Converting Customers' Private Securities Funds for Personal Use
October 04, 2019
James Lamont Sanctioned for Selling $1.5 Million of Notes in Fraudulent Woodbridge Ponzi Scheme
September 27, 2019
Margareta Childs Barred Following Fraud Complaint, Failure to Cooperate with Investigation
September 23, 2019
Clay G Erickson Sanctioned in $5 Million-Worth of Unauthorized VA Transactions
September 17, 2019
JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
September 11, 2019
FINRA Cites First Financial Equity's Compliance Officer, Melissa Strouse, for Failing to Disclose 67 Broker Liens, Judgments & Financial Events
August 26, 2019
Ex-Cetera Broker Merhoff Racking Up Complaints After FINRA Bar
August 21, 2019
FINRA Sanctions SoCal Brokers for Failing to Cooperate with Investigations
August 19, 2019
Crown Capital Cited for Mutual Fund Supervision Deficiencies
August 10, 2019
Cetera's Mengxuan 'Sharon' Zhang Sanctioned for Falsifying Customer Signature Pages
August 08, 2019
Karen Paek Barred Over Fake Variable Annuity Applications & Forgery
July 31, 2019
Eric Nichols Suspended for Settling Customer Complaint Away from Morgan Stanley
July 30, 2019
NBC Securities' Brian DiJulio Cited for Unauthorized Short-Term Discretionary Trades
July 24, 2019
Trading in a Dead Client's Account Nets Former Wells Fargo Broker Michael Garris a Fine and Suspension
July 22, 2019
FINRA Disciplines LPL Financial's Eric Savell Over Undisclosed Outside Business Activity
July 10, 2019
Signator's Jeffrey Lundstrom Cited for Failing to Disclose $100,000 in Liens
July 10, 2019
Raymond James Compliance Officer Barred for Falsifying Data
July 09, 2019
After Customers Suffer Losses, FINRA Cites Cetera's Summit Brokerage Services for Failing to Review Excessive Trade Alerts
May 08, 2019
Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr.
February 04, 2019
FINRA Charges Raymond James Compliance Officer with Falsifying Reports to Prevent OBA Audit Follow-Up
January 24, 2019
LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided
