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2022

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November 13, 2022 Pasadena-Based Western International Securities Fined $400k for Deficient REIT Supervision
August 28, 2022 GWG Holdings Financing Package Approved, Further Highlighting Importance of Pursuing Arbitration with Firms That Sold L Bonds
June 21, 2022 Emerson Equity Predicts Further Adversity as Wholesalers Leave and GWG Holdings L Bond Losses Grow
June 16, 2022 Western International Securities Charged with Violating Regulation Best Interest by Recommending and Selling Unsuitable and Risky GWG L Bonds
April 22, 2022 After Causing Investor Losses, Bankrupt GWG Holdings Blames SEC Investigation For GWGH Failures
April 21, 2022 Troubled GWG Holdings Finally Files for Bankruptcy, Sealing Many Investors' Losing Fates
April 13, 2022 GWG Holdings Unit Seeks Waiver of Default
April 12, 2022 GWG Sanctioned by NASDAQ As More Brokerage Sellers Appear
April 08, 2022 GWG Holdings Losses Grow in California with Centaurus, Kingswood's Mark John Williams
April 04, 2022 GWG to File for Chapter 11 Bankruptcy - GWG L Bond Investors May Be Entitled To Damages
March 09, 2022 Investors Advised to "Avoid GWGH" as GWG Holdings Deemed Problematic in 2015
March 04, 2022 KIRN Radio Personality Tony Barouti (Barouti Financial) Under Investigation Over Possible GWG Holdings L Bond Sales
February 26, 2022 L Bond Losses: Defining GWG Holdings' Unsuitably Risky Product
February 24, 2022 Backed into a Collapsing Corner, GWG Holdings Goes Silent, Leaving Investors On the Hook
February 23, 2022 Unsuitably Recommended and Sold to Investors, GWG Holdings L Bonds Lose Value, Paving Way for Arbitration
February 02, 2022 GWG Holdings Pauses L Bond Sales As Large Losses Loom
January 31, 2022 GWG Holdings Fails to Make $13.6 Million in Payments to Investors as Investigations Ramp Up
December 22, 2022 FINRA Bars PFS Vice President Desiderio Torrez After Customer Complaint
December 15, 2022 Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
December 13, 2022 LPL Financial Fined $150k, Admonished for Failing to Supervise Broker Involved in Ponzi Scheme
November 29, 2022 Morgan Stanley Broker David Lau Sanctioned for Unauthorized Discretionary Trades
November 22, 2022 Edward Turley Barred After Settling Suitability and Fraud Claims Worth $47 Million
November 08, 2022 Stephen Romney Swensen, Crew Capital Group Named in $30 Million Ponzi Scheme Complaint
November 03, 2022 FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
October 27, 2022 FINRA's First Regulation Best Interest AWC
October 21, 2022 Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers
October 06, 2022 As Credit Suisse Nears Financial Jeopardy, Potential Customer Losses Loom for its Structured Products
September 27, 2022 ProMedica Health System Downgraded, $2+ Billion Debt Spurring Review for Junk Status and Possible Default
September 16, 2022 Advisor Mark Frankel of Partnervest in Southern California Charged with Fraud
September 15, 2022 SagePoint Financial Sanctioned for Supervisory Failures, Excessive Margin for Elderly Client
August 30, 2022 Kovack Securities Cited for Failing to Supervise Short-Term Mutual Fund Trades, Suitability Issues
August 26, 2022 Merrill Lynch's Conrad Branson Disciplined for Series of Unauthorized Transactions, Discretion in Customer Accounts
August 19, 2022 Broker Zachary Hansen Suspended After Selling Away From UBS Financial Services
August 18, 2022 Patrick English Barred During Unauthorized Use of Discretion Investigation
August 12, 2022 Fired from Raymond James, Wedbush Hires Michael Paul Massey & William Romans, Brokers Accused in Pending Case of Drug Charges
August 05, 2022 Philip Smith Suspended by FINRA After Series of Complaints, Unsuitable Variable Annuity Recommendation
August 05, 2022 Camille Cordova Sanctioned for Unsuitable Variable Annuity Recommendations
July 27, 2022 David Hixon Sanctioned Over Improper Money Borrowing, Loans
July 23, 2022 Steven Kiyoto Hirata Barred After Investigation into Private Securities Transactions
July 20, 2022 Roselaine Securities Disciplined for Failing to Supervise or Identify Staff Engaged in Outside Business Activities, Failing to Act on US Government's Financial Crimes Enforcement Network Requests
July 14, 2022 McDermott Investment Advisors Loses to SEC in Court, Held Liable for Fraud Against UIT Clients
July 05, 2022 Gregory Andrews Sanctioned for Undisclosed Outside Business Activities
June 15, 2022 Megurditch Patatian Barred for $8 Million of Unsuitable REIT & Variable Annuity Recommendations
June 11, 2022 Brokerage Firm IFP Securities that Sold Doomed GWG Holdings Products Deliberately Sought Risky Products
May 27, 2022 Tarik Nehmatullah Barred After Allegedly Accepting Loan from Customer
May 13, 2022 Ex-Morgan Stanley Broker Nikolay Zotenko Cited for Improperly Marketing Private Placements
May 09, 2022 LPL Financial Broker Bruce Amman Cited for Transacting $3.5 Million Private Placement Without LPL Approval
May 06, 2022 TCFG Broker Janie Garza-Clark Barred After Fraud Complaint, Investigation
April 27, 2022 Berthel Fisher Fined $100,000 for Options Trading Compliance Failures in Elderly Client's Account
April 15, 2022 Edward Jones Broker John Winslow (Gig Harbor, WA) Barred After Client's $893,000 Theft Accusation
April 01, 2022 TCFG Wealth Broker David McDonnell Barred in Outside Business Activity Investigation
March 25, 2022 FINRA Fines Dempsey Lord Smith & BD4RIA for Private Placement Sales of "Ponzi-like" GPB Capital
March 24, 2022 Geneos Wealth Management to Pay $400,000 for Improper Alt Investment Sales
March 23, 2022 Michael Knittel Suspended for Undisclosed Private Securities Transaction
March 18, 2022 Former Wells Fargo & LPL Financial Broker Mario Rivero Arrested for Stealing $680,000 From Clients
March 16, 2022 Gregory Scott Hanshew Accused of Disclosure, Sales Violations with Elder Investors
February 21, 2022 Purshe Kaplan Sterling Charged Over Unsuitable Leveraged ETF Sales Causing $2.3 Million in Losses
February 16, 2022 Emerson Equity-Pushed GWG L Bonds Face Imminent Default After Failing to Pay Investors
February 10, 2022 Morgan Stanley Broker Darryl Cohen, Broker to Pro Athletes, Barred After Millions in Claims
February 08, 2022 Raymond James Under Investigation for Northstar Financial Services (Bermuda) Sales
January 27, 2022 Four United Development Funding Execs Guilty of Real Estate Fraud Scheme
January 24, 2022 Ivan Acevedo, Guilty of Fraud in Woodbridge Ponzi Scheme, Barred by SEC
January 15, 2022 Triad Advisors Disciplined for Failing to Supervise LJM Mutual Fund Recommendations, Which Lost 80% In Value Before Liquidating
January 14, 2022 Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers
January 06, 2022 RBC Capital's Unsuitable Concentration in High-Yield Bonds Nets $1 Million Settlement

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