Recent disciplinary action by FINRA highlights compliance failures at Stirlingshire Investments involving recommendations of complex exchange-traded products to retail investors. According to FINRA, the firm[...]
Broker / Advisor Investigations
Recent FINRA action highlights serious concerns about Independence Capital Co., Inc. related to selling high-risk bonds to retail investors, including seniors. FINRA found the firm[...]
Aegis Capital Corp. is under renewed regulatory scrutiny after recent FINRA actions in early 2026. These actions underscore ongoing compliance issues related to private placements,[...]
Introduction FINRA’s March 2026 disciplinary report highlights persistent failures in the brokerage industry that directly affect retail investors. The report identifies systemic issues, including unsuitable[...]
Sonn Law Group is monitoring new investor complaints filed in January 2026 against Aaron P. Sevigny (CRD# 4314368), a long-time registered representative with United Planners[...]
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Miami-based financial advisor Patricia P. Holder (CRD# 2894768) is currently defending a pending FINRA arbitration claim alleging unsuitable investment recommendations and violations of Regulation Best[...]
When investors experience significant losses, they must often determine whether those losses were due to market volatility or to a failure of professional conduct. Publicly[...]