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February 10, 2023 Centaurus Financial Penalized $1 Million for Unsuitable Structured Product Sales
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
March 04, 2022 KIRN Radio Personality Tony Barouti (Barouti Financial) Under Investigation Over Possible GWG Holdings L Bond Sales
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
January 15, 2021 Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges
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
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 20, 2019 Wedbush's Latest Penalty is an $8.1 Million SEC Fine for Improper Handling of ADRs
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 24, 2019 Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures
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
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
January 03, 2019 2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks
December 17, 2018 Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018
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 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
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 19, 2018 UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis
September 11, 2018 HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation
September 06, 2018 Lincoln Investment Planning Sanctioned for Failing to Apply Sales Charge Discounts to Eligible Retirement Customers
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 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
June 14, 2018 LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client
November 29, 2022 Morgan Stanley Broker David Lau Sanctioned for Unauthorized Discretionary Trades
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
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 Camille Cordova Sanctioned for Unsuitable Variable Annuity Recommendations
July 14, 2022 McDermott Investment Advisors Loses to SEC in Court, Held Liable for Fraud Against UIT Clients
June 11, 2022 Brokerage Firm IFP Securities that Sold Doomed GWG Holdings Products Deliberately Sought Risky Products
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
January 15, 2022 Triad Advisors Disciplined for Failing to Supervise LJM Mutual Fund Recommendations, Which Lost 80% In Value Before Liquidating
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
July 31, 2021 SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations
July 16, 2021 Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
June 29, 2021 SEC Orders Crown Capital Securities to Pay $1.6 Million Over Mutual Fund Share Class Violations
June 24, 2021 Farmers Financial Solutions Fined for Failing to Supervise Variable Universal Life, Mutual Funds Business
May 11, 2021 UnionBanc Investment Services Fined $100k for Variable Annuity Supervision Woes
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 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 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
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 27, 2020 SEC Fines Firm $1 Million Over High-Fee Mutual Fund Recommendations
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
March 31, 2020 Exchange-Traded Notes At Heightened Risk Due to COVID-19's Market Volatility
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 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
January 27, 2020 FINRA Bars NYLife's Kari Bracy Over $300 Million Ponzi Scheme Future Income Payments Misrepresentation
January 17, 2020 Citigroup, YieldStreet Plans Risky Hedge Fund Product for Retail Customers
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 21, 2019 Francisco Valenzuela Cited for Failing to Disclose Lien
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
August 19, 2019 Crown Capital Cited for Mutual Fund Supervision Deficiencies
August 08, 2019 Karen Paek Barred Over Fake Variable Annuity Applications & Forgery
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 04, 2018 FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity
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 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
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 16, 2018 Regulator Charges Scottrade with Fiduciary Duty Rule Violation in Retirement Sales Contest Controversy
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
January 31, 2018 FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
January 26, 2018 Joseph Farah Barred for Unsuitable and Excessive Trading, Undisclosed Outside Business Activity, and Misrepresentations
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 13, 2017 Investors Capital Corporation Censured After 8 Years of Overcharging Customers for Mutual Fund Transactions
December 13, 2017 FINRA Cites Ladenburg Thalmann's Investacorp for Failing to Apply Sales Charge Waivers
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
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 04, 2017 Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns
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 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 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 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
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
June 08, 2017 Ameriprise (Irvine)'s Jim Seol Barred for 'Egregious' Selling Away of $100 Million Private Placements for Immigration's EB-5 Program
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 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
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 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
January 31, 2017 Citigroup to Pay $18 Million for Overbilling Clients, Misplacing Decades-Worth of Client Contracts
December 02, 2016 MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
December 01, 2016 Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts
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 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
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 06, 2016 Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000
August 23, 2016 $150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing
August 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
July 16, 2016 Complaint Against First Financial Equity Corp Alleges Supervisory Failures, Excessive Commissions
June 30, 2016 WFG Advisors Fined, Censured $100k for Overcharging Customers in Alt Investment, REIT Sales
June 16, 2016 Robert Myers Fined $20k, Suspended for Disputed VA Fees Classified as Unapproved Outside Business Compensation
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
March 29, 2016 Coburn & Meredith Fined $75k, Ordered to Pay $203k in Restitution for Failing to Apply UIT Sales Charge Discounts
March 04, 2016 Quest Capital Strategies Fined for Mutual Fund Supervisory Failures, Including Monitoring for Double-Charging Customers
March 02, 2016 Former MetLife & Prudential Broker Winston Turner Accused of Variable Annuity Fraud and/or Deception
February 21, 2016 Finance 500 Fined & Censured for Inadequate Supervision, Misleading Ads
February 01, 2016 Oil, Gas & Emerging Market Funds Among Those with Worst Total Losses Over Past Three Years
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 19, 2015 J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures
October 29, 2015 FINRA Orders 5 Firms to Pay $18 Million in Restitution for Overcharged Mutual Funds
October 16, 2015 Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges
October 07, 2015 FINRA Expels Halcyon Cabot Partners and Bars CEO Michael Morris, CCO Ronald Heineman for Fraud, Fee Kickback Scheme
September 24, 2015 FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
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 05, 2015 James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme
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
January 05, 2015 High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst
January 02, 2015 Sagepoint's Daryl R. Lemon Barred for Margin Abuse, Excess Fees After 1,000+ Transactions in Elderly Client's Discount Brokerage Account
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
October 02, 2014 SWS Charged with Inadequate Supervision of VA Transactions
August 22, 2014 Airbags - Unsafe at any Speed
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 05, 2014 Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
April 16, 2014 SEC Charges San Diego's Total Wealth Management with Fraud in Kickbacks Scheme
January 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
October 24, 2013 Warning about Wirehouses: Excess Fees, Depressed Profits Harmful to Clients
October 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
October 09, 2013 Managed Futures Fund Fees: A Hidden Money Drain for a Sneaky Security
March 24, 2013 LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
December 30, 2012 Take Charge Financial, Inc., Joan Anne Perry Expelled & Barred for Unauthorized Transfers, Failure to Report Complaints, Inappropriate Borrowing of Customer Funds
December 20, 2012 Financial West Investment Group Censured & Fined for Inadequate Diligence, Failure to Execute Bond Transactions at Reasonable Prices

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