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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
June 21, 2022 Emerson Equity Predicts Further Adversity as Wholesalers Leave and GWG Holdings L Bond Losses Grow
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
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
December 30, 2021 Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
January 15, 2021 Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges
June 15, 2020 Raymond James Broker Frederick Stow Charged with Fraud After $943,500 IRA Theft
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
August 07, 2018 Compliance Officer Claims Retaliation in Firing from Purshe Kaplan Sterling After Reporting Alt Investment Red Flags to FINRA
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 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 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 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 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 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
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 13, 2019 Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital
January 22, 2019 FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final
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
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 27, 2018 Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
November 14, 2018 Michael Scott Livermore Sanctioned for Failing to Report Felonies
November 06, 2018 Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies
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 11, 2018 Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers
October 10, 2018 Daniel Kittner Suspended for 700 Unauthorized Discretionary Trades
September 29, 2018 Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients
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 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 11, 2018 Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds
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
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 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
August 19, 2022 Broker Zachary Hansen Suspended After Selling Away From UBS Financial Services
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
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
February 21, 2022 Purshe Kaplan Sterling Charged Over Unsuitable Leveraged ETF Sales Causing $2.3 Million in Losses
February 10, 2022 Morgan Stanley Broker Darryl Cohen, Broker to Pro Athletes, Barred After Millions in Claims
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
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
September 14, 2021 SEC Cites 9 Brokerage Firms Over 12b-1 Fee Violations That Harmed Customers
August 26, 2021 Jason Seale Cited for Discretionary Trading Without Permission
July 31, 2021 SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations
July 28, 2021 Regulators Crack Down on Record Keeping and Broker Communications via E-mail, Text Message, WhatsApp, and Social Media
July 21, 2021 UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX
July 16, 2021 Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
June 24, 2021 Farmers Financial Solutions Fined for Failing to Supervise Variable Universal Life, Mutual Funds Business
May 19, 2021 Hung Sam Cited for Borrowing From Wells Fargo Customer Without Authorization
May 17, 2021 Wells Fargo's Gary Wells Sanctioned for Accepting Prohibited Bequests from Elderly Customer's Estate
April 13, 2021 Steven Schisler Accused of Recommending Elderly Clients Invest in Promissory Note Issued by Partner Previously Barred for Defrauding Investors
April 12, 2021 Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
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
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 18, 2021 Andrew Perona Sanctioned for Taking Clients' Personal Information to New Firm Without Consent
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 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 17, 2020 FINRA Charges Nicholas Baecker with Forging Customer Signatures on Forms
December 11, 2020 California's Infinity Financial Services Fined $35k Over Inadequate Background Checks of Brokers, Failing to Obtain Industry Approvals
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
November 20, 2020 American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses
November 17, 2020 SEC Issues Securities America Advisors Cease-and-Desist Order Over XIV, VIXY ETF Trades Resulting in Losses in Over 150 Client Accounts
November 13, 2020 SEC Fines Royal Alliance Associates Over Volatility Linked ETP Failures, Including iPath S&P 500 VIX ETN 'VXX'
November 10, 2020 Vonna Kay Husby Barred During Investigation into Undisclosed Bank Account Co-Owned With Elderly Customer
November 03, 2020 LPL Financial's Timothy Engelmann Sanctioned for Unauthorized Loan Through LLC
October 05, 2020 Kathleen Bott Barred After Investigation Into Theft Charges
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
September 01, 2020 LPL Financial's James Rapisarda Cited for Private Securities Transaction
August 24, 2020 FINRA Bars Terminated Brokers Lau, Winters, for Failing to Provide Information
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 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 20, 2020 E-mail Communication Failures - What a Terminated CEO, WhatsApp Broker, Woodbridge & FIP Have in Common
June 19, 2020 Quinn Campbell Disciplined for Removing MetLife Customers' Private Info
June 05, 2020 LPL's Donald Padilla Suspended for Circumventing Firm Supervision, Unapproved Email Accounts
June 02, 2020 Stifel Nicolaus to Pay $3.65 Million for Unsuitable Unit Investment Trust (UIT) Rollovers & Poor Supervision
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 09, 2020 JP Morgan's Steven Lu Barred for Pretending to Befriend, Taking Advantage of Elderly Alzheimer's Client
April 08, 2020 Clare Cail Suspended for Altering Signed Account Documents, Submitting Falsified Form
April 06, 2020 Accurate Record Keeping & Supervision Vital as FINRA Temporarily Lifts Rules, SEC Suspends In-Person Exams During Pandemic
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 14, 2020 Commonwealth Income and Growth Fund at Heart of FINRA Bar for Misuse of Funds
February 06, 2020 Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred
January 30, 2020 Kerry Wills Sanctioned for Borrowing $150k, Accepting Luxury "Travel Gifts" From Elderly Customer
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 08, 2020 Barred Broker John Chrysadakis' Alleged Conversion at Mason's Lodge Illustrates Affinity Fraud Risk
January 06, 2020 FINRA Penalizes Oppenheimer & Co $3.8 Million After UIT Supervisory Failures
January 02, 2020 First Financial Equity Corporation Sanctioned for Failing to Timely Disclose Financial Events, Supervisory Deficiencies
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
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 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
September 11, 2019 FINRA Cites First Financial Equity's Compliance Officer, Melissa Strouse, for Failing to Disclose 67 Broker Liens, Judgments & Financial Events
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 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
May 08, 2019 Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr.
January 24, 2019 LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided
November 03, 2018 LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud
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 29, 2018 Brian Sung Hyun Sanctioned for Undisclosed Marijuana Consulting Outside Business Activities
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 10, 2018 Revised FINRA Sanction Guidelines Increase Penalties for Brokers with More Complaints
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 26, 2018 OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final
April 20, 2018 FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
April 18, 2018 Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security
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 10, 2018 Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
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 27, 2018 Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction
March 22, 2018 Phillip Tibbetts Fined & Suspended for Accepting Unauthorized Loan from Customer
March 15, 2018 Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley
March 14, 2018 Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations
March 06, 2018 DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations
February 27, 2018 SEC Charges Joseph Bronson's Strong Investment Management with Cherry Picking Fraud, Misrepresentation
February 20, 2018 Credit Suisse Execs Had Secretaries Complete Training for Them, Records Show
February 16, 2018 Regulator Charges Scottrade with Fiduciary Duty Rule Violation in Retirement Sales Contest Controversy
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 25, 2018 Ameriprise's Lorene Fairbanks Sanctioned for Unauthorized Loan from Customer, Violative Text Messages
January 22, 2018 Sandeep Varma Cited for Misleading Estate Planning Seminar Communications
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
January 02, 2018 Merrill Lynch Continues Choice-of-Law Provisions Despite of Industry Discipline and Admonishment
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 04, 2017 Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account
November 29, 2017 Modesto's David Lee Reynolds Barred During Misappropriations Investigation
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 09, 2017 FINRA Bars Victor Michel for Failing to Cooperate with Investigation
November 07, 2017 Questar to Pay $800,000 for Overcharging Retirement Plan & Charitable Organization Customers
November 05, 2017 First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions
November 01, 2017 Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock
October 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
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 10, 2017 Ex-Western International Securities Brokers Brittney J Sias, Clement Chichester Barred by FINRA
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 28, 2017 Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado
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 19, 2017 With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended
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 11, 2017 Nancy Johnson Sanctioned for Repeated False Statements to Morgan Stanley in Fraudulent Wire Transfer to Imposter
September 08, 2017 William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss
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
August 09, 2017 Howard Hull Fined & Suspended for Firm's Supervisory Failures
August 07, 2017 Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires
August 03, 2017 Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties
July 27, 2017 PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale
July 07, 2017 Jaime Aguilar Suspended for Unauthorized Loans from Customers
July 06, 2017 Murray Monroe Sanctioned for Failing to Disclose Appointment as Executor of Customer's Estate
July 03, 2017 Richard Botkin Fined & Suspended for $245k of Unauthorized Movie-Related Investments
June 29, 2017 Sammy Legaspi Sanctioned for Using, Photocopying Pre-Signed Signed Blank Forms
June 27, 2017 Former LPL Financial (Fresno) Broker Todd Pilosi Punished for Borrowing Money From Client
June 21, 2017 FINRA Fines Scottsdale Capital Advisors $1.5 Million, Bars John Hurry, Suspends Timothy DiBlasi & D Michael Cruz in Illegal $1.7 Million Cayman Islands Microcap Sales Scheme
June 13, 2017 Christopher M. Hawn Fined & Suspended for Unauthorized Private Securities Transactions & Undisclosed Outside Business Activities
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 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 15, 2017 Inglewood's Jose Jimenez Sanctioned for Allowing Unlicensed Son to Conduct Securities Business
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 29, 2017 CUSO Financial Services to Pay $172.5k in Fines and Restitution for Mathew Hartshorn's Unsuitable UIT Sales
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 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 16, 2017 LPL Financial Fined $900,000 for Failing to Send Required Account Notices, Supervisory Failures
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 06, 2017 After Separation from JP Morgan, Robert Stewart Says He Just Followed Firm's Longstanding Practice
January 26, 2017 New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"
January 24, 2017 Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints
December 29, 2016 Former ACAP AML Compliance Officer Gary Hume Barred for Improper Unregistered Penny Stock Liquidation
December 22, 2016 Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures
December 13, 2016 FINRA Sanctions Davood Kohan for Improperly Settling Complaint Away from Firm
December 06, 2016 Credit Suisse Securities Fined $16.5 Million for Significant Supervisory Deficiencies in Detecting Suspicious Microcap Trades
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 16, 2016 John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer
November 02, 2016 Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures
September 29, 2016 UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
September 19, 2016 George Zedan Barred for Elder Abuse and Conversion of 87-Year-Old Customer's Funds, Escapes Prosecution when Victim Dies
September 14, 2016 FINRA Fines Ameriprise Financial $850k over Rep & Manager Weseloh's Conversion of $370,000 from Customers
September 13, 2016 Ex-LPL Broker Cheryl Kerber Fined & Suspended for False Statements About a Loan
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
August 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
August 03, 2016 SoCal Broker Brian Egan Barred for Failing to Disclose 87 Brokerage Accounts at an Outside Firm
July 29, 2016 Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm
July 18, 2016 Wedbush Drops Appeal of $1 Million Fine for "Egregious" and "Willful" Blue Sheet Failures
July 16, 2016 Complaint Against First Financial Equity Corp Alleges Supervisory Failures, Excessive Commissions
July 14, 2016 Nickolus Finley (Waddell & Reed/San Diego) Cited for Copying & Pasting Customer's Signature
June 29, 2016 Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
June 15, 2016 Former CCO Allen Holeman the Latest Oppenheimer & Co. Broker in Trouble with FINRA
June 02, 2016 E*Trade Securities Censured, Fined $900k for Trade Review & Supervisory Failures, Failure to Ensure Protection of Confidential Info
January 09, 2016 Michael Nahass Fined & Suspended for Undisclosed Outside Business, False Representations
January 06, 2016 2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
October 14, 2015 FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200
September 24, 2015 FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
August 04, 2015 FINRA Fines Aegis Capital $950,000 for Unregistered Penny Stock Sales and AML Violations
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
February 17, 2015 Foothill Securities, CCO Stephen Shipp Fined $235k for Inadequate Policies, Systems and Procedures
February 12, 2015 Former Compliance Officer Suing Cabot Lodge for Firing After He Reported Firm Misconduct
January 08, 2015 FINRA Files Complaint Against Bradley Claus, Alleging Improper Oil and Gas Sales, Falsely Tying a Security to Justin Timberlake
December 24, 2014 FINRA Charges Wedbush, Peter Julijs Auzers, Shiva Naby, and Samantha Arrieta McAfee in MSRB Supervisory Failure, Untimely Reporting of $13.5 Million-worth of Transactions
December 17, 2014 Wedbush Ordered to Pay $350,000+ After Losing FINRA Appeal
October 16, 2014 SEC Charges Former Wells Fargo Compliance Officer Judy K. Wolf with Altering Documents

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