The Securities and Exchange Commission (SEC) has charged three executives of Austal USA LLC, a shipbuilder based in Mobile, Alabama, for their involvement in a[...]
Broker / Advisor Investigations
Chatham Asset Management LLC, a New Jersey-based investment company, and its founder, Anthony Melchiorre, have been charged by the Securities and Exchange Commission (SEC) for[...]
The Securities and Exchange Commission (SEC) has charged crypto asset trading platform Beaxy.com and its executives for failing to register as a national securities exchange,[...]
INVESTORS: Arete Wealth Management broker Avi Bailo was named in customer disputes alleging unsuitable investment recommendations. Avi Bailo (CRD: 6165479) is registered as a broker[...]
INVESTORS: Aegis Capital broker Thomas Edison Kelly Jr. was named in a customer dispute alleging various forms of misconduct. Thomas Edison Kelly Jr. (CRD: 2877415)[...]
INVESTORS: Emerson Equity broker Jeffrey Donald Noard was named in a customer dispute alleging various forms of misconduct. Jeffrey Donald Noard (CRD: 1983392) is registered[...]
Boggs was previously barred by FINRA in 2019 for the same misconduct. The Sonn Law Group is investigating allegations that Marcus Boggs misappropriated funds. If[...]
INVESTORS: UBS Financial Services broker Scott Michael Rosenberg was named in multiple customer disputes alleging unsuitability and misrepresentation with respect to investment recommendations. Scott Michael[...]
INVESTORS: Former Morgan Stanley broker Miche Jean was named in a complaint by FINRA alleging failure to appear for testimony. Miche Jean (CRD: 5918186) was[...]
INVESTORS: Former PFS Investments broker Kevin Andrew Hobbs was barred by FINRA following allegations of trading away. Kevin Andrew Hobbs (CRD: 4267482) was registered as[...]