Investors trust their brokers to provide sound, personalized advice, not to put their portfolios at risk for the sake of generating commissions. But the financial[...]
Broker / Advisor Investigations
Jason Lamb (CRD#: 3248356), a broker currently registered with Arete Wealth Management in Nashville, Tennessee, is facing mounting legal scrutiny following a wave of investor[...]
When financial advisors step outside the lines, the consequences can be serious — both for their clients and their careers. That’s exactly what happened in[...]
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[...]
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[...]