Financial professionals are expected to follow strict rules when it comes to transparency, disclosure and regulatory cooperation. When those standards are ignored, both investor trust[...]
Broker / Advisor Investigations
Even seasoned advisors can overstep critical compliance boundaries sometimes without their clients fully realizing it. That’s the case for William Worthen King (CRD #1432593) of[...]
A long-tenured broker with over three decades of experience, Bentley Thomas Beard (CRD#: 2024985) is now facing increased scrutiny following a pending arbitration case involving[...]
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[...]
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[...]