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Securities Fraud
- Aug 6, 2025 Julie Darrah Stole $2.25 Million from Elderly Clients & Heads to Prison After Pleading Guilty to Wire Fraud
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- Sep 13, 2024 Stewart Ginn Agrees to Settle Charges of Churning $2.2 Million from IFG Customers
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- Sep 9, 2024 Morgan Stanley Fined $2 Million Over Improper First Republic Trades
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ETFs
- Feb 24, 2026 Structured Cryptocurrency Products, a Gateway Drug to Risky Investing as Crypto ETFs Suffer Losses
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- Dec 2, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty
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- Nov 29, 2024 Structured Products' Risk Intensifies with Single Stock Volatility - The Case of the ARKK ETF
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Arbitration
- Feb 20, 2026 Inspired Healthcare Capital Files for Bankruptcy, Putting Investors at Risk
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- Dec 26, 2025 Morgan Stanley's Lindsay Yencho Accused of Unsuitable Options Recommendations
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- Dec 19, 2025 Arete's Dennis McMillan Loses Unsuitability Expungement Request After GPB Capital Complaint
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Auction Rate Securities
- May 16, 2012 Arbitration: Wells Fargo Ordered to Buy Back $2.2 Million in Auction Rate Securities
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Discipline
- Jan 30, 2026 Jonathon Webster, Formerly of Stifel Nicolaus, Suspended for Illicit Trade Recommendations to Senior Customers
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- Dec 19, 2025 Kingswood Capital Partners of San Diego Fined $150,000 Over GWG Holdings Bond Sales
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- Dec 3, 2025 Wedbush Fined $150,000 for Margin Securities & Supervisory Failures, MSRB Mark-Up Disclosure Omissions
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Outside Business Activity
- Oct 20, 2021 Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
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- Mar 23, 2020 FINRA Sanctions Scott Kozak for Soliciting $1.2 Million Away from Firm Cetera, False Statements
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- Aug 7, 2017 Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires
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Selling Away
- Jul 16, 2019 Convicted Fraudster Daniel Vazquez Gets Prison for Swindling Seniors Out of $2.6 Million
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- Mar 29, 2019 JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme
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- May 22, 2018 SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills
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Unauthorized Trading
- Jun 30, 2020 Barry Hartwyk Disciplined for Unauthorized Use of Discretion
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- Feb 13, 2018 Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck
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- Nov 16, 2017 Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud
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Conversion
- Jun 20, 2023 LPL Financial Ex-Broker Patrick Thayer Charged with Misappropriating $1.3 Million from Client
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- May 3, 2023 Wells Fargo's Tyler Rigsbee Sentenced to Prison for Stealing Money from Elderly Clients
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- Oct 18, 2021 Raymond James' Mark Boucher Criminally Charged in $2 Million Fraud
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Elder Abuse
- Jan 7, 2019 John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud
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- Sep 29, 2018 Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients
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- May 12, 2018 Wells Fargo Survey Finds Two-Thirds of Financial Crimes Against Elderly Are Committed By Trusted Individuals
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Ponzi Scheme
- Sep 6, 2021 SEC Complaint Cites Former Oppenheimer Rep John Woods for Massive $110 Million Horizon Private Equity Ponzi Scheme Targeting Elderly Retirees
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- Aug 23, 2018 Massive Woodbridge Fraud Grows as 5 Charged With Selling $243 Million of Ponzi Product to 1,600 Investors
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- Jan 26, 2018 SEC Charges Woodbridge Group of Companies in 'Massive' $1.2 Billion Ponzi Scheme Targeting 8,400 Investors
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Mutual Funds
- Sep 9, 2025 Easterly ROCMuni High Income Municipal Bond Funds Were Risky, Unsuitable, and Suffered Losses
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- Jan 9, 2024 LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures
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- Sep 13, 2021 SEC Cites 9 Brokerage Firms Over 12b-1 Fee Violations That Harmed Customers
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Mortgage Backed Securities
- Feb 14, 2018 SEC Fines Deutsche Bank Securities $4.45 Million for Misleading Mortgage-Backed Securities Sales
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Due Diligence
- Sep 21, 2025 Inspired Healthcare Capital REIT Suspends Distributions Amidst Investigation
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- Jul 30, 2025 Phillip Anderson Cited for Unsuitable Recommendations, Overconcentration in GWG Bonds
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- Feb 1, 2024 KBS REIT in Newport Beach Teeters on Brink of Failure
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Reverse Convertibles
- Oct 6, 2022 As Credit Suisse Nears Financial Jeopardy, Potential Customer Losses Loom for its Structured Products
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- Apr 1, 2020 Caution Urged as UBS, HSBC Recommending Asian Structured Products to Top Clients
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- Apr 1, 2020 Corona Virus Plagues Risky Structured Products, Reverse Convertibles
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Suitability
- Apr 6, 2024 The Risk of Rising Autocollable Structured Products: The Case of the Worthless Bank
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- Feb 5, 2024 JWE Investigating Peakstone Realty Trust fka Griffin Capital REIT Investment Losses
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- Sep 23, 2023 Best Interest Rule Violation Cited in Unsuitable REIT Recommendation and Overconcentration
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Penny Stocks
- Dec 31, 2015 CFP Board Suspends David Gabai After FINRA Bar for Alleged Deceptive and Fraudulent Scheme
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- Sep 8, 2015 Investor Alert Warns of Pump-And-Dump Scams Delivered Through WhatsApp, Other Messaging Apps
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- May 19, 2015 FINRA Complaint Charges Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi & D Michael Cruz with Illegal Microcap Sales of $1.7 Million
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Fees
- Apr 1, 2021 Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison
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- Jun 25, 2019 Profits Before People - GPB Capital Paid High Commissions to Sell Troubled Products
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- Jun 20, 2019 Wedbush's Latest Penalty is an $8.1 Million SEC Fine for Improper Handling of ADRs
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Failure to Supervise
- Oct 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
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- Jan 24, 2017 Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints
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- Jul 7, 2015 FINRA Board Candidate Brian Kovack Says He'll Represent Firms, Not Investors
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Brokercheck
- Oct 1, 2015 FINRA Fines, Suspends Todd Shanholtzer for Mishandling, Misusing $58k of Customer Funds in Variable Annuity Product
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- Apr 25, 2014 Background Checks for Brokers Newest Requirement for FINRA-Member Firms
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- Apr 17, 2014 Study: Brokers Who Fail Basic Securities Exams Have More BrokerCheck Black Marks, Disclosures
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401(k)
- Jan 2, 2014 FINRA Warns Firms Against Blind 401(k) to IRA Fund Transfer Recommendations
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- Jan 25, 2013 FINRA's Five Tips for Financial Well Being
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Fiduciary Duty
- Feb 7, 2023 SEC Accuses Steve Susoeff, Meritage Financial Group, of Fraudulent Scheme
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- Oct 3, 2017 Sandlapper Securities Accused of Charging $8 Million in Fraudulent Markups for Saltwater Disposal Well Private Placements
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- Jan 7, 2015 Fiduciary Duty - Putting Customers First - Tops FINRA's Regulation Priorities for 2015
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Wire Fraud
- Aug 9, 2025 Fidelity Broker Indicted in $2 Million Fraud Scheme
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- Dec 18, 2018 Annemarie Thomas Suspended for Facilitating Wire Without Proper Authorization
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Margin
- May 21, 2018 Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk
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- Jun 29, 2012 Investing on Margin Carries Additional Risks and May Result in Unintended Consequences
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Equity Indexed Annuities
- May 6, 2014 FINRA Targeting Fixed Annuity Sales' Risks, Firm Policies and Procedures
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Exchange Traded Notes
- Mar 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall
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FINRA
- Dec 19, 2018 FINRA and SEC Launch Investigation of GPB Capital Holdings
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- Oct 30, 2016 FINRA Cracks Down on Cross-Selling Programs in Wake of Wells Fargo Fiasco
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- May 5, 2016 FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away
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Investor Alert
- Jan 1, 2015 Risks and Rewards Abound for Closed-End Funds
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- Jul 10, 2012 FINRA Issues Investor Alert on Exchange Traded Notes
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Promissory Notes
- Dec 12, 2017 Woodbridge Group of Companies, LLC, Under SEC Investigation for $1 Billion Fraud as Fund Misses Notes Payment
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Private Placements
- Jul 30, 2013 SEC Lifts Ban on Hedge Fund Ads, Increases Private Placement and Hedge Fund Risk
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Identity Theft
- Apr 15, 2026 How Do You Know If a Phishing Scam Is Targeting Your Investment Accounts?
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REITs
- Feb 15, 2018 Newbridge Could Face Philadelphia Public Employee Suits Alleging Millions in Damages
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- Nov 18, 2014 RCS Capital Confirms SEC, FINRA and MA State Regulator Investigations over $23m Error
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- Nov 13, 2014 Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error
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Life Settlements
- May 12, 2015 SEC Charges Radio Hosts Christopher A. Novinger, Brady J. Speers and Their Companies with Fraudulent Life Settlement Interest Sales, Making False Claims to Investors
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Forgery
- Sep 9, 2015 La Mesa's Robert Earl Holaday Accused of Forging Customer Signatures
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Loan
- Mar 11, 2026 Conflict of Interest: Kroll's Subsidiary Lends Money to Loss-Bearing Blue Owl, But Kroll is Also Blue Owl's "Independent" Valuation Provider
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SEC
- Oct 3, 2020 SEC Fines Morgan Stanley $5 Million Over Short Sale Violations in Swaps Business
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- Oct 16, 2014 SEC Charges Former Wells Fargo Compliance Officer Judy K. Wolf with Altering Documents
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- Sep 23, 2014 SEC Fines Wells Fargo Advisors $5 Million for Inadequate Controls to Prevent Broker's Insider Trading
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UBS
- Mar 15, 2016 UBS Preparing Sales of High-Yield CoCo Bonds, A Risky Debt That Can Bail Out Banks At Expense of Investors
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- May 25, 2015 JP Morgan Chase, Citigroup, Barclays, RBS, UBS Admit to Criminal Conduct, Fined $6 Billion; JPMorgan Issues Disclosure Notice
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- Mar 31, 2013 UBS-Sponsored Willow Fund Drops 80 Percent After Manager Sam Kim Switches to Risky Derivatives Strategy
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Bonds
- Jul 18, 2013 StateTrust Investments, Joseph Turnes Fined $1 Million, Ordered to Pay $353,000 in Restitution for Unfair Bond Prices
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Risk
- Oct 27, 2025 Risk Alarm as Morgan Stanley Expands Cryptocurrency Access to Clients
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- Feb 19, 2018 Volatility Funds Take a Dive - VelocityShares, ProShares VIX Round Out Worst Performing Volatility ETPs
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Wells Fargo
- Aug 24, 2015 Rush to Sell Overwhelms Brokerages, Shuts Online Clients Out from Transactions as Stocks Fall
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Merrill Lynch
- Nov 21, 2017 Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly
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- Jul 22, 2015 Merill Lynch Fires Senior VP Marc D Lowe of the $2.5 Billion Vilardo, Lowe & Associates Team for "Inappropriate Workplace Behavior"
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Wedbush Securities
- Aug 12, 2022 Fired from Raymond James, Wedbush Hires Michael Paul Massey & William Romans, Brokers Accused in Pending Case of Drug Charges
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Pensions
- May 12, 2013 SEC/FINRA: Selling Rights to Pension Income Streams, Investing in Third Party Pension Can Be Risky
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Raymond James
- Jun 27, 2023 Can I File a Claim for Northstar Financial Services Bankruptcy Losses? From Global Advantage to Met Universal Life, a List of Northstar's Product Plans
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Oppenheimer
- Sep 25, 2025 Oppenheimer Broker Zachary Taylor Cited for Unsuitable Recommendations to Elderly Customers
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Clearing Firm Liability
- Jan 7, 2015 Pershing LLC Fined $3 Million for Supervisory, Customer Protection Violations
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