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February 10, 2023 Centaurus Financial Penalized $1 Million for Unsuitable Structured Product Sales
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
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
January 31, 2022 GWG Holdings Fails to Make $13.6 Million in Payments to Investors as Investigations Ramp Up
December 30, 2021 Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
May 06, 2021 A Truly International Operation: Northstar Financial Services (Bermuda)'s Liquidation Will Result in Significant Losses
April 28, 2021 Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements
January 15, 2021 Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges
April 03, 2020 The Securities-Based Loan Margin Call Is "Exactly The Risk We Are Focused On," Says FINRA
February 29, 2020 Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
September 07, 2018 Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations
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 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
April 24, 2019 Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures
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
March 31, 2019 Ranking the 20 Large-Cap Mutual Funds and ETFs with the Worst One-Year Returns
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 14, 2019 Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump 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
January 17, 2019 Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents
December 22, 2018 Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading
December 10, 2018 FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations
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 02, 2018 David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation
October 24, 2018 John Simoncic Barred for Churning Retirement Accounts with VIX ETF
October 15, 2018 Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial
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 21, 2018 FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License
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
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 14, 2018 StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices
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 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
May 10, 2023 Centaurus Financial's Donnie Ingram Sanctioned for Unsuitable UIT and REIT Recommendations
April 17, 2023 RBC Ordered to Pay $1.1 Million Over Supervision Failures
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
October 27, 2022 FINRA's First Regulation Best Interest AWC
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 19, 2022 Broker Zachary Hansen Suspended After Selling Away From UBS Financial Services
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 23, 2022 Steven Kiyoto Hirata Barred After Investigation into Private Securities Transactions
July 14, 2022 McDermott Investment Advisors Loses to SEC in Court, Held Liable for Fraud Against UIT Clients
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 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
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
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
December 30, 2021 Wedbush Securities to Pay $1.2 Million Over Unregistered Microcap Sales
November 29, 2021 WestPark Capital Sanctioned for Misrepresentations in $3.9 Million Promissory Note Sales
November 23, 2021 JP Morgan Advisors' Antoine Souma Suspended for Incorrect and Misleading Reports to Customer
November 22, 2021 Non-Traded Real Estate Investment Trusts: Recovering Damages when a Broker Unsuitably Recommends a REIT
October 19, 2021 Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages
October 05, 2021 Ex-Vorpahl Wing & LPL Financial Broker Lee Victor Nordstrom Barred After Allegedly Placing IRA Trades 4 Days After Client's Death
July 21, 2021 UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX
June 24, 2021 Farmers Financial Solutions Fined for Failing to Supervise Variable Universal Life, Mutual Funds Business
April 12, 2021 Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
April 01, 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
March 26, 2021 While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales
March 25, 2021 The Logan Group Securities Cited for Multi-Share Class Variable Annuity Violations
March 23, 2021 JP Morgan Broker Trevor Rahn Disciplined for Unauthorized Trading, Improper Discretion, and Mismarking Solicited Orders
March 02, 2021 Megurditch Patatian Accused of Unsuitable REIT Recommendations Funded Through VA Surrenders
February 25, 2021 VALIC Financial Advisors Fined $350,000 for Variable Annuities Failures After Prior $1.75 Million Fine
February 22, 2021 Wells Fargo's Scott Reed Barred After Selling $3.5 Million of Web/Software Investments Away from Firm
February 11, 2021 FINRA Fines Triad Advisors $150,000 Over Poor Mutual Fund & Variable Annuity Switches That Resulted in Customer Losses
February 10, 2021 My Financial Girlfriend CEO Lisa Brumm Sanctioned for Unsuitable Variable Annuity Recommendations
January 25, 2021 Cetera Firms Fined $1 Million for Supervisory Failures in Third-Party Securities Transactions
January 13, 2021 LPL Financial's Arthur Obermeier Cited for Unauthorized Discretionary Trading
January 01, 2021 Worden Capital Management Ordered to Pay $1.5 Million Over Systemic Excessive Trading and Unsuitable Recommendations That Caused Losses of Millions of Dollars, Interfering with Customers' Requests to Transfer Accounts to Another Broker-Dealer
December 09, 2020 FINRA Charges Gregory McCloskey aka Gregory Meier with Covering Up Improper Private Securities Transaction (PST) with a Second Improper PST
November 27, 2020 FINRA Cracks Down on Unit Investment Trust (UIT) Short-Term Trading Abuse at Stifel, Nicolaus & Company
November 25, 2020 FINRA Finds Variable Annuities, Life Insurance Liquidation Strategy Unsuitable, Cites ON Equity Sales Broker
September 19, 2020 Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean
September 03, 2020 Wells Fargo Variable Annuity Supervision Violations Net $2 Million in Fines and Restitution
August 20, 2020 Wedbush's David Hirons Accused of Unauthorized Trading
August 13, 2020 Ex-First Allied Broker Kimberly Barensten Cited for Charging Undisclosed VA Fees
August 04, 2020 Oppenheimer, Already Sanctioned $3.8 Million, Sees Broker Penalized for Premature & Unsuitable UIT Sales & Trades
July 29, 2020 Fired Morgan Stanley Broker Stephen Sloane Under Investigation for Unsuitable Recommendations in Quickly Trading Long-Term Investments
July 14, 2020 Merrill Lynch, Charles Kenahan Under NH Investigation for $100+ Million Churning & Unauthorized Trading
June 30, 2020 Barry Hartwyk Disciplined for Unauthorized Use of Discretion
June 11, 2020 Dee Dee Brooks Barred Over Fraudulent Woodbridge Ponzi Scheme, Future Income Payments Solicitations
June 02, 2020 Stifel Nicolaus to Pay $3.65 Million for Unsuitable Unit Investment Trust (UIT) Rollovers & Poor Supervision
May 10, 2020 FINRA: LPL Financial Unsuitably Sold Elderly Clients Risky REITs After Broker Lied About Customers' Net Worth
May 01, 2020 Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
April 23, 2020 Integrity Brokerage Services CEO Joshua Helmle Accused of Deliberately Defying FINRA, Allowing Disqualified Broker Marc Jaffe to Work While Ineligible and Serve While Unregistered
April 08, 2020 Clare Cail Suspended for Altering Signed Account Documents, Submitting Falsified Form
April 01, 2020 Caution Urged as UBS, HSBC Recommending Asian Structured Products to Top Clients
April 01, 2020 Corona Virus Plagues Risky Structured Products, Reverse Convertibles
March 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall
March 25, 2020 Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
March 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
March 23, 2020 FINRA Sanctions Scott Kozak for Soliciting $1.2 Million Away from Firm Cetera, False Statements
March 04, 2020 AXA Advisors' Billy Zhang Cited After Settling Misuse-of-Funds Complaint Away From Firm
February 06, 2020 Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred
February 04, 2020 FINRA's Saction of Mason Gann Highlights Risks of Naked Puts Strategy
January 27, 2020 FINRA Bars NYLife's Kari Bracy Over $300 Million Ponzi Scheme Future Income Payments Misrepresentation
January 15, 2020 NEXT Financial Group Fined for Unsuitable Non-Traded REIT Sales
January 06, 2020 FINRA Penalizes Oppenheimer & Co $3.8 Million After UIT Supervisory Failures
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 02, 2019 SEC Bars Securities America Broker Ronald J Roach over $1 Billion DC Solar Fraud and Ponzi Scheme
October 31, 2019 Ami Forte & Charles Lawrence Barred for Churning Dementia-Laden Elderly Client's Account
October 17, 2019 Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
October 15, 2019 Newbridge Fined $225,000 for Complex Securities, ETF Supervision Failures
September 17, 2019 JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
August 26, 2019 Ex-Cetera Broker Merhoff Racking Up Complaints After FINRA Bar
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 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 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.
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 12, 2018 Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation
June 04, 2018 FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity
May 25, 2018 DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers
May 18, 2018 Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline
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 02, 2018 James and Lorraine Conaway Sanctioned for Real Estate Outside Business Activity Violations, Disclose Failures
April 27, 2018 Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations
April 20, 2018 FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
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 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 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
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 06, 2018 Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds
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 26, 2018 Joseph Farah Barred for Unsuitable and Excessive Trading, Undisclosed Outside Business Activity, and Misrepresentations
January 19, 2018 Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy
January 10, 2018 Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives
January 04, 2018 Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
December 11, 2017 NEXT Financial to Pay $750,000 in Latest Disciplinary Action Concerning Habitual Deficiencies and Systematic VA Failures
December 08, 2017 Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments
December 04, 2017 Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account
November 18, 2017 Jerry Guttman Barred for 10 Years of Unauthorized Private Securities Transactions
November 16, 2017 Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud
November 14, 2017 Patricia Peterson Sanctioned for Unauthorized Discretionary Trades in WFG Accounts
November 13, 2017 Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading
November 10, 2017 Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints
November 07, 2017 Questar to Pay $800,000 for Overcharging Retirement Plan & Charitable Organization Customers
November 01, 2017 Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock
October 19, 2017 Beware Buffer Annuities - Misrepresentations and Omissions Highlight Complaints of New Risky Product
October 13, 2017 Ex-NFP Advisor Services Rep Robert J Regan Suspended for Improper Private Securities Transactions
October 11, 2017 Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades
October 06, 2017 SEC Charges Tweed Investment Services and Owner Robert Tweed with Fraud in Athenian Fund Scheme
October 04, 2017 Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns
October 03, 2017 Sandlapper Securities Accused of Charging $8 Million in Fraudulent Markups for Saltwater Disposal Well Private Placements
September 27, 2017 Ex-Royal Alliance, Next Financial, and Dominion Investment Rep Roger Hudspeth Pleads Guilty to $6 Million Fraud
September 25, 2017 Morgan Stanley Ordered to Pay Over $13 Million for Unit Investment Trust (UIT) Supervisory Failures
September 22, 2017 SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations
September 18, 2017 "Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation
September 15, 2017 Ex-JP Morgan Securities Rep Todd Jason Jones Sanctioned for Unauthorized Trading in Complex ETN
September 07, 2017 Colorado Broker Bruce Page Barber Barred in Outside Business Activity Investigation
September 05, 2017 Jeffrey Alan Smith is the Latest Ex-Accelerated Capital Group Broker Cited for Pre-Signed, Altered Forms
September 01, 2017 FINRA Sanctions Elaine LaCerte for Unsuitable UIT Sales, Causing Unnecessary Sales Charges
August 29, 2017 John Kostic Sanctioned, Disgorgement Ordered for Unauthorized Private Securities Transactions
August 21, 2017 Jay Dee Jordan Barred for Unsuitable ETF Trading Resulting in $8 Million Loss, Settling Away
August 15, 2017 FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations
August 01, 2017 LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees
July 31, 2017 Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker
July 27, 2017 PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale
July 21, 2017 AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client
July 19, 2017 Larry Wolfe Fined & Suspended for Unauthorized Discretionary Trading in Accounts of 39 Customers
June 12, 2017 Kim Dee Isaacson Charged with Fraudulent Misrepresentations, Unauthorized Transactions in Elderly Client's Account
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
June 03, 2017 Ex-Red Ridge Securities CEO Brent Hurt Sanctioned for Failing to Supervise Broker in $1 Million Misappropriation Scheme
June 01, 2017 Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades
May 31, 2017 FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations
May 30, 2017 Michael Mahabir Barred After Conversion Investigation
May 25, 2017 Wells Fargo to Restrict Structured Products, Municipal Bonds in IRA Accounts
May 16, 2017 Curian Clearing Fined for Failing to Deliver Prospectus Materials to Customers
May 08, 2017 Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements
May 04, 2017 FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse
May 03, 2017 LPL Settles Over Non-Traded REIT Misconduct, Possible $8 Million Payout for Latest LPL Snafu
May 01, 2017 Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors
April 24, 2017 John Olinghouse Sanctioned for Falsifying Documents, Settling Elder Diminished Capacity Customer's Complaint Away from Firm
April 18, 2017 Stockcross Financial Services of Beverly Hills Fined for Supervisory Violations, Failing to Timely Publish OTC Bids
April 07, 2017 Tracy Turner Barred Over False and Misleading Oil-and-Gas Communications Probe
March 10, 2017 First Financial Equity CCO Melissa Strouse Punished for Suitability, ETF, Heightened Supervision Failures
March 02, 2017 Craig Dima Barred for $15 Million of Unauthorized & Unsuitable Trades in Elderly Client's Retirement Account
February 27, 2017 Vincent Payne Suspended for Forgery, Falsifying Customer Signatures
February 24, 2017 Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine
February 21, 2017 Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud
February 14, 2017 Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses
February 13, 2017 Matthew Maczko Barred for Churning in 93-Year-Old Client's Account, Resulting in Loss; Misleading Testimony
February 09, 2017 Dion Padilla Sanctioned for Unauthorized, Misrepresented, and Concealed Variable Annuity Purchase
February 07, 2017 James Calder Sanctioned for Unauthorized Outside Business Activity
February 06, 2017 After Separation from JP Morgan, Robert Stewart Says He Just Followed Firm's Longstanding Practice
February 03, 2017 Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud
January 10, 2017 Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts
December 05, 2016 FINRA's Recent Sanctions Underscore Compensation and Conflict of Interest Priorities
December 02, 2016 MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
November 28, 2016 VALIC Financial Advisors Fined $1.75 Million for Conflict of Interest, Supervisory Failures Related to Variable Annuities
November 19, 2016 Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations
November 16, 2016 John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer
November 14, 2016 FINRA Bars Ex-LPL Broker Dominic DeBruin over Undisclosed Private Securities Transactions, Depositing Client Money into Controlled Account
November 10, 2016 Gerald Cocuzzo Pleads Guilty to Securities Fraud in $131 Million Market Manipulation Scheme of ForceField Energy
November 09, 2016 Stanley Niekras Accused of Misrepresentation, Billing Elderly Clients for $70,000-worth in Fabricated Fees
November 02, 2016 Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
October 21, 2016 Ex-LPL Broker Mark Tauzin Suspended, Ordered to Pay $225,000 for Unsuitable UIT Short-Term Trading
October 06, 2016 Cetera Financial Group's Investors Capital Corp to Pay $1.1 Million Over Unit Investment Trust, Steepener Note Sales
September 29, 2016 UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
September 12, 2016 Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration
September 07, 2016 Jerry McCutchen Barred in Connection with Over 20 Customer Complaints Alleging REIT & Alt Investment Unsuitability, Misrepresentations
September 06, 2016 Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000
August 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
August 06, 2016 Hank Werner Charged with Fraudulent Churning, Excessive Trading, Unsuitable VA Recommendation Against Elderly, Blind Widow
July 27, 2016 FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation
July 16, 2016 Complaint Against First Financial Equity Corp Alleges Supervisory Failures, Excessive Commissions
June 08, 2016 Oppenheimer & Co Sanctioned $2.9 Million for Unsuitable Complex ETF Trades Amongst Elderly Customers
May 11, 2016 FINRA Announces MetLife VA Information for Harmed Investors: Acceptance of Compensation Does Not Prevent Pursuit of Claims Against MetLife
May 05, 2016 FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away
May 04, 2016 David Miller Barred, Ordered to Pay $800k in Restitution for Unsuitable UIT Recommendations
May 03, 2016 MetLife Securities Ordered to Pay Record-High $25 Million for Negligent Variable Annuity Replacement App Misrepresentations and Omissions
April 13, 2016 Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses
March 29, 2016 Coburn & Meredith Fined $75k, Ordered to Pay $203k in Restitution for Failing to Apply UIT Sales Charge Discounts
March 06, 2016 Bahram Mirhashemi Barred for Churning, Excessive Trading & Unsuitable Sales to Elderly Clients Resulting in Losses
March 04, 2016 Quest Capital Strategies Fined for Mutual Fund Supervisory Failures, Including Monitoring for Double-Charging Customers
February 21, 2016 Finance 500 Fined & Censured for Inadequate Supervision, Misleading Ads
February 08, 2016 Next Financial Group, Key Investment Services & Stephens, Inc. to Pay $1.2 Million in Fines and Restitution for Discount Failures
February 01, 2016 Oil, Gas & Emerging Market Funds Among Those with Worst Total Losses Over Past Three Years
January 15, 2016 Irvine's Finance 500 Fined $400k, Multiple Brokers Banned over Penny Stock Sales
January 13, 2016 FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms
January 06, 2016 2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
January 04, 2016 LPL Financial Ordered to Pay $750k for Improper REIT Sales to Elderly Client
December 29, 2015 Barclays Capital Ordered to Pay $13.75 Million for Mutual Fund Suitability Violations
December 23, 2015 Merrill Lynch Settles 23 Complaints Against Barred Broker Thomas J. Buck for $4.1 Million
December 22, 2015 Cantor Fitzgerald Sanctioned $7.3 Million for Billions of Unregistered Microcap Sales, Supervisory & AML Failures
November 10, 2015 MetLife: FINRA to Seek Significant Fine for Variable Annuities Violations
October 16, 2015 Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges
September 24, 2015 FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
July 31, 2015 Ex-Billion-Dollar Merrill Lynch, RBC Broker Thomas J. Buck Barred for Overcharging and Misleading Clients, Fraud
July 15, 2015 FINRA Fines Ascendiant Capital Markets of Irvine, CA for Failure to Supervise, Inadequate Handling of Customer Complaint
June 24, 2015 SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts
May 06, 2015 SEC Investigating JPMorgan Over Potentially Improper Proprietary Fund Sales, Fiduciary Standard Violations
May 01, 2015 Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers
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
November 16, 2014 NASAA Names Top 9 Investor Threats for 2015
November 15, 2014 OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors
August 22, 2014 Airbags - Unsafe at any Speed
May 12, 2014 William Jeffrey Austin Fined & Suspended for Exercising Discretion Without Authorization or Consent
May 05, 2014 Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
May 01, 2014 NSM Securities, Bhasin, Bhagwani & Balchandani Disciplined for Supervisory, Suitability and Compliance Failures, Churning and Unauthorized Trading Activity
April 02, 2014 Former MetLife Brokers Christopher Birli & Patrick Chapin Named in Civil Complaint Regarding $21 Million Annuities Scheme
February 04, 2014 Proposed Rules Change Requires Firms to Issue Clearer Nontraded REIT Statements
January 30, 2014 SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
January 26, 2014 SEC National Exam Program's Investment Adviser & Company Priorities for 2014
January 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
December 16, 2013 Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages
October 24, 2013 Warning about Wirehouses: Excess Fees, Depressed Profits Harmful to Clients
October 17, 2013 NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats
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 30, 2013 SEC Upholds FINRA Decision Banning Former Firm Founder Carl Birkelbach for Failure to Supervise
May 05, 2013 Sean Francis Sheridan Barred for Recommending Only Funds that Yielded Higher Commissions
March 20, 2013 Richard Grant Cody Fined & Suspended For Unsuitable and Excess Trading
March 20, 2013 Su-Chin Liu Barred In Connection with Investigation into Improper Premium Payments
February 12, 2013 Richard Lee Ell Sanctioned in Connection with Variable Annuity Transaction Charges & Complaint
December 20, 2012 Financial West Investment Group Censured & Fined for Inadequate Diligence, Failure to Execute Bond Transactions at Reasonable Prices
November 26, 2012 David Lerner Associates to Pay $12 Million in Restitution in Connection with Inadequate Due Diligence, Excessive Markups
October 10, 2012 FINRA Complaint Alleges Harry Ward Hunt Engaged in Excessive and Unsuitable Trading, Resulting in Commissions Paid to Broker

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