Imagine working hard for years, earning deferred compensation as part of your retirement plan, only to find it might be withheld when you need it[...]
Broker / Advisor Investigations
Spartan Capital Securities has garnered regulatory and investor scrutiny due to numerous complaints and regulatory actions that spotlight its trading and compliance issues, including churning,[...]
The Financial Regulatory Authority (“FINRA”) has reported on its BrokerCheck website that MICHAEL SCOTT ROSENBACH was terminated from employment at UBS FINANCIAL SERVICES INC. The[...]
March 2, 2024, Miami, Florida. — Sonn Law Group PA announced today that several former Morgan Stanley financial advisors won a collective $3 million in[...]
November 3, 2023 November 3, 2023 – The Financial Regulatory Authority fined Bolton Global Capital (CRD #15650, Bolton, Massachusetts) $75,000, in part, for exposing customer[...]
According to the Finanical Regulatory Authority (FINRA) John Aloysius Dougherty entered the securities industry in December 1997. In January 2021, Dougherty became associated with LPL[...]
by Miriam Rozen November 22, 2023 Edited with comments from Sonn Law Group A federal judge has granted Morgan Stanley’s motion to send to arbitration[...]
FROM INVESTMENTNEWS.COM The disgraced advisor fleeced more than 400 investors in a fraudulent ‘private equity’ fund over a 13-year period.February 13, 2024By Leo AlmazoraA former[...]
In a recent development, LPL Financial has found itself in the spotlight, facing significant penalties totaling more than $6 million for various securities violations. The[...]
In the dynamic world of financial investment, Edward Jones stands out for its unwavering commitment to excellence. Recent developments from the firm highlight a strategic[...]