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November 13, 2022 Pasadena-Based Western International Securities Fined $400k for Deficient REIT Supervision
August 28, 2022 GWG Holdings Financing Package Approved, Further Highlighting Importance of Pursuing Arbitration with Firms That Sold L Bonds
June 21, 2022 Emerson Equity Predicts Further Adversity as Wholesalers Leave and GWG Holdings L Bond Losses Grow
June 16, 2022 Western International Securities Charged with Violating Regulation Best Interest by Recommending and Selling Unsuitable and Risky GWG L Bonds
April 22, 2022 After Causing Investor Losses, Bankrupt GWG Holdings Blames SEC Investigation For GWGH Failures
April 13, 2022 GWG Holdings Unit Seeks Waiver of Default
March 09, 2022 Investors Advised to "Avoid GWGH" as GWG Holdings Deemed Problematic in 2015
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
July 02, 2019 Dunkerley Named in $43 Million Dollar Fraud Scheme Tied to LAFC Soccer Team Owner
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
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
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 22, 2019 FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final
January 18, 2019 Nicholas Maddox Barred for Failing to Answer FINRA Questions
January 03, 2019 2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks
December 02, 2018 Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
November 27, 2018 Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity
November 14, 2018 Michael Scott Livermore Sanctioned for Failing to Report Felonies
November 02, 2018 David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation
October 31, 2018 Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm
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
October 05, 2018 IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent
September 29, 2018 Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients
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
September 06, 2018 Lincoln Investment Planning Sanctioned for Failing to Apply Sales Charge Discounts to Eligible Retirement Customers
August 14, 2018 StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices
August 09, 2018 Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website
July 17, 2018 Michael Gilhooly Barred for Refusal to Appear during Investigation
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
April 17, 2023 RBC Ordered to Pay $1.1 Million Over Supervision Failures
August 30, 2022 Kovack Securities Cited for Failing to Supervise Short-Term Mutual Fund Trades, Suitability Issues
August 26, 2022 Merrill Lynch's Conrad Branson Disciplined for Series of Unauthorized Transactions, Discretion in Customer Accounts
August 19, 2022 Broker Zachary Hansen Suspended After Selling Away From UBS Financial Services
July 05, 2022 Gregory Andrews Sanctioned for Undisclosed Outside Business Activities
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
April 01, 2022 TCFG Wealth Broker David McDonnell Barred in Outside Business Activity Investigation
March 25, 2022 FINRA Fines Dempsey Lord Smith & BD4RIA for Private Placement Sales of "Ponzi-like" GPB Capital
March 24, 2022 Geneos Wealth Management to Pay $400,000 for Improper Alt Investment Sales
March 18, 2022 Former Wells Fargo & LPL Financial Broker Mario Rivero Arrested for Stealing $680,000 From Clients
March 16, 2022 Gregory Scott Hanshew Accused of Disclosure, Sales Violations with Elder Investors
January 14, 2022 Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers
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
October 19, 2021 Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages
July 31, 2021 SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations
April 12, 2021 Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
April 05, 2021 James Hedges Cited for Misrepresenting, Failing to Disclose $6 Million of Financial Events on Questionnaire
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 22, 2021 Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures
March 12, 2021 Advisor Group Firms, including Royal Alliance Increase Budgets for Legal and Regulatory Issues
March 12, 2021 FINRA Cites Jeffrey Stanga for Failing to Fully Disclose Outside Business Activity, and Engaging Private Securities Transactions
March 09, 2021 Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
February 25, 2021 VALIC Financial Advisors Fined $350,000 for Variable Annuities Failures After Prior $1.75 Million Fine
February 11, 2021 FINRA Fines Triad Advisors $150,000 Over Poor Mutual Fund & Variable Annuity Switches That Resulted in Customer Losses
January 27, 2021 George Magladry Suspended for Failing to Disclose Felony Charges
December 11, 2020 California's Infinity Financial Services Fined $35k Over Inadequate Background Checks of Brokers, Failing to Obtain Industry Approvals
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
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 06, 2020 Chih-Ming Huang Suspended After Failing to Disclose Felony Charge
September 01, 2020 LPL Financial's James Rapisarda Cited for Private Securities Transaction
August 27, 2020 SEC Fines Firm $1 Million Over High-Fee Mutual Fund Recommendations
August 24, 2020 FINRA Bars Terminated Brokers Lau, Winters, for Failing to Provide Information
June 05, 2020 LPL's Donald Padilla Suspended for Circumventing Firm Supervision, Unapproved Email Accounts
May 07, 2020 Western International Securities Failed to Disclose Brokers' Financial Events Totaling $5.6 Million, Says FINRA
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 01, 2020 Corona Virus Plagues Risky Structured Products, Reverse Convertibles
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
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
January 02, 2020 First Financial Equity Corporation Sanctioned for Failing to Timely Disclose Financial Events, Supervisory Deficiencies
December 21, 2019 Francisco Valenzuela Cited for Failing to Disclose Lien
October 24, 2019 JP Morgan Fined $1.1 Million for Failing to Tell FINRA About 89 Broker Misconduct Allegations
September 23, 2019 Clay G Erickson Sanctioned in $5 Million-Worth of Unauthorized VA Transactions
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 26, 2019 Ex-Cetera Broker Merhoff Racking Up Complaints After FINRA Bar
July 10, 2019 Signator's Jeffrey Lundstrom Cited for Failing to Disclose $100,000 in Liens
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
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
May 09, 2018 Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures
May 07, 2018 Joseph Pratte Barred After Outside Business Activities Investigation
May 02, 2018 James and Lorraine Conaway Sanctioned for Real Estate Outside Business Activity Violations, Disclose Failures
April 30, 2018 Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name
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 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 15, 2018 Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley
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 16, 2018 FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin
January 09, 2018 Citigroup Sanctioned $11.5 Million for Displaying Inaccurate Equity Research Ratings, Such as "Buy" When the Firm Meant "Sell"
January 04, 2018 Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule
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
November 20, 2017 FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity
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 23, 2017 Bae Keun Yu Suspended for Undisclosed Outside Securities Business
October 20, 2017 Ex-Newport Coast Securities Broker George Dahl Barred in 15th Disclosure
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
September 22, 2017 SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations
September 21, 2017 Former LPL Financial San Diego Broker Marc Ravenscroft Barred for Conversion, Use of Phony Expense Reports
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 08, 2017 William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss
August 25, 2017 OHO Issues Decision Barring Jim Jinkook Seol over Undisclosed EB-5 Business
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 28, 2017 FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer
July 27, 2017 PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale
July 22, 2017 FINRA NAC Affirms OHO Bar of David Escarcega for Fraudulent Misrepresentations to Elderly Clients in Arizona, California and Washington
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
July 14, 2017 Robert Tweed Named in False & Misleading Private Placement Memorandum Complaint, Fraud Investigation
July 06, 2017 Murray Monroe Sanctioned for Failing to Disclose Appointment as Executor of Customer's Estate
July 05, 2017 Poorly Performing Mutual Funds Place Money Managers in Jeopardy
June 30, 2017 American Realty Capital Properties Ex-CFO Brian Block Guilty of Securities Fraud in Schorsch REIT Empire Crackdown; 50+ Firms Continued to Sell Related RCAP REIT After Financial Woes Became Public
June 30, 2017 Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy
June 13, 2017 Christopher M. Hawn Fined & Suspended for Unauthorized Private Securities Transactions & Undisclosed Outside Business Activities
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
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 08, 2017 Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements
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
March 02, 2017 Craig Dima Barred for $15 Million of Unauthorized & Unsuitable Trades in Elderly Client's Retirement Account
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 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 24, 2017 Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints
December 20, 2016 FINRA Bars Ken Balser After Investigation into Private Securities Transactions
December 13, 2016 FINRA Sanctions Davood Kohan for Improperly Settling Complaint Away from Firm
November 28, 2016 VALIC Financial Advisors Fined $1.75 Million for Conflict of Interest, Supervisory Failures Related to Variable Annuities
November 22, 2016 Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments
November 19, 2016 Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
October 25, 2016 Anthony Lombardi Fined and Suspended for Failing to Disclose Outside Insurance Business Activity
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 18, 2016 Wedbush Drops Appeal of $1 Million Fine for "Egregious" and "Willful" Blue Sheet Failures
July 05, 2016 Deutsche Bank Securities Fined $6 Million for Inaccurate and Late Blue Sheet Data
June 29, 2016 Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
June 23, 2016 Merrill Lynch Fined $5 Million for Failure to Disclose Material Facts, Costs in Structured Note Sales
June 15, 2016 Former CCO Allen Holeman the Latest Oppenheimer & Co. Broker in Trouble with FINRA
June 09, 2016 Shannon Rowland Barred for Converting Funds for Personal Use
May 04, 2016 David Miller Barred, Ordered to Pay $800k in Restitution for Unsuitable UIT Recommendations
April 05, 2016 FINRA Files Complaint Against BrokerBank, Alleging Misleading Press Releases & Recommendations
February 01, 2016 Oil, Gas & Emerging Market Funds Among Those with Worst Total Losses Over Past Three Years
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
January 04, 2016 LPL Financial Ordered to Pay $750k for Improper REIT Sales to Elderly Client
December 31, 2015 CFP Board Suspends David Gabai After FINRA Bar for Alleged Deceptive and Fraudulent Scheme
December 23, 2015 Merrill Lynch Settles 23 Complaints Against Barred Broker Thomas J. Buck for $4.1 Million
December 19, 2015 J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures
December 15, 2015 William Watson Fined & Suspended for Misleading, Unfair and Unbalanced Marketing
September 24, 2015 FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
September 16, 2015 FINRA Fines, Suspends Tyler Boone Powell for Improper Use of Discretion
August 11, 2015 Gehrin Michael Ortiz Barred After Investigation into Material Disclosure Violations and Omissions
August 07, 2015 Caldwell International Securities Corp's Rasheed "Richard" Adams Barred for Churning, Excessive Trading
July 08, 2015 F-Squared Files for Bankruptcy in Wake of $35 Million Settlement Over False Performance Claims
July 07, 2015 FINRA Board Candidate Brian Kovack Says He'll Represent Firms, Not Investors
June 24, 2015 SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts
June 11, 2015 Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment
March 26, 2015 Loreta Salinas Nelson Fined & Suspended for Serving as Co-Trustee for 100-year-old Client Without Firm Permission
March 24, 2015 Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities
March 13, 2015 With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz
March 11, 2015 FINRA Censures and Fines UBS $500,000 for Failing to Disclose Broker Issues to Regulators
November 24, 2014 FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications
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
November 13, 2014 Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error
November 10, 2014 Massachusetts Regulator Investigating Schorsch's Realty Capital Securities, REIT Sales
July 28, 2014 Jason O'Neal Lampier Barred for Fraudulent Misrepresentations Related to Oil and Gas Limited Partnerships
June 25, 2014 FINRA Bars Dale Herman Stevens for Serving on Hedge Fund Board without Disclosing Financial Interest to Firm
June 17, 2014 Securities and Exchange Commission Upholds FINRA'S Censure and $50,000 Fine of Member Firm CapWest Securities Over Tenant-in-Common Investments
June 12, 2014 At IAA Financial, 84% of Brokers Came from Expelled Firms, 54% with Previous Disclosure Records
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
April 17, 2014 Study: Brokers Who Fail Basic Securities Exams Have More BrokerCheck Black Marks, Disclosures
April 16, 2014 SEC Charges San Diego's Total Wealth Management with Fraud in Kickbacks Scheme
April 01, 2014 NY Firm Meyers Associates: A Standout Broker-Dealer Full of Black-Mark Reps with Disclosures
March 26, 2014 Arbitrator James H. Frank Removed From FINRA'S Roster of Arbitrators After Lying About Credentials
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
January 07, 2014 FINRA Tells Firms to Put Clients First with Conflicts of Interest Report
January 03, 2014 FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
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
July 09, 2013 Richard Joseph Gobel Fined and Suspended for Discretionary Trading without Written Authorization
June 24, 2013 Arbitrator Indictment Spotlights Importance of Conducting Due Diligence in Arbitration
May 22, 2013 FINRA: Firms Must Adhere to Industry Rules and Be Honest with Investors

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