• Sigma Planning, Michigan-based Wealth Management Firm, Fined $2.5 Million by SEC
  • Christopher Neil Watkins, Formerly of LPL Financial, Terminated for Allegedly Sharing Advisory Fees with Unregistered Party
  • Scott Gunnip, Formerly of Morgan Stanley, Barred by FINRA for Failing to Provide Testimony to FINRA
  • Christopher Fulco, Formerly of JM Capital, Sued by SEC for Operating an Offering Fraud
  • SEC Charges Cambridge Capital Group Advisors, LLC and Two Former Executives with Defrauding Former-NFL Player Investors
  • Spire Securities, LLC Charged $3 Million in Compensatory Damages