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Account Objectives

April 24, 2020 Brokerages Stop Risk-Laden REIT Sales After Massive Coronavirus Losses
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
June 26, 2019 Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
May 01, 2020 Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
March 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
July 02, 2018 Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
April 10, 2018 Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
March 15, 2018 Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley
March 06, 2018 DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations
January 10, 2018 Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives
August 01, 2017 LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees
February 13, 2017 Matthew Maczko Barred for Churning in 93-Year-Old Client's Account, Resulting in Loss; Misleading Testimony
January 10, 2017 Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
September 12, 2016 Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration
September 06, 2016 Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000
February 01, 2016 Oil, Gas & Emerging Market Funds Among Those with Worst Total Losses Over Past Three Years
July 27, 2015 Volatile Complex Exchange Traded Products (ETFs, ETNs, etc.) May Be Unsuitable for Conservative Investors
March 13, 2015 With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz
March 05, 2015 Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds
January 05, 2015 High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst
October 02, 2014 SWS Charged with Inadequate Supervision of VA Transactions
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
January 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
January 03, 2014 FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
November 20, 2013 Proposed Fiduciary Rule Changes Signal Heightened Due Diligence Requirements for Brokers, Advisors
October 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
September 18, 2013 Private Placement Offerings Require Research and Contemplation of Risk
August 02, 2013 FINRA Arbitration Panel Orders Citigroup to Pay $10.75 Million for Overconcentration Negligence and Failure to Supervise
July 22, 2013 John Thornes Barred for Stealing $4.2 Million from Elderly Alzheimer's, Scholarship Accounts
February 01, 2013 UBS to Change Customers' Objectives, Reclassify Clients as "Aggressive" Investors