• Joseph Pratt, Formerly of Wells Fargo, Barred by FINRA for Insider Trading
  • David Manor, Formerly of Wells Fargo, Suspended by FINRA for Multiple Rule Violations
  • Paul Mauro, Advisor for Sagepoint Financial, Receives Numerous Customer Complaints
  • SEC Bars Strong Investment Management and its Owner, Joseph Bronson, for Fraudulent “Cherry-Picking” Scheme
  • Lawyers Expect Increase in Complaints Against GPB Capital Holdings, Majority Owner of Prime Automotive Group
  • Sigma Planning, Michigan-based Wealth Management Firm, Fined $2.5 Million by SEC