What current and prospective clients should know about complaints and regulatory actions against Securities America Inc. Based in La Vista, Nebraska, Securities America Inc. (CRD#:[...]
Investment Loss Investigations
What current and prospective clients should know about complaints and regulatory actions against Cambridge Investment Research Cambridge Investment Research (CRD#: 39543) is a brokerage firm[...]
In what insiders are calling a surprising decision, highly successful broker Craig D. Findley was fired by his firm, the U.S. arm of UBS Financial[...]
What current and prospective clients should know about complaints and regulatory actions against LPL Financial LPL Financial is one of the largest financial services companies[...]
James Edward Bashaw (CRD# 1251491), is a broker and investment advisor previously registered with LPL Financial in Houston, Texas. Following an investigation, Bashaw was suspended[...]
FINRA ordered Buckman, Buckman & Reid, Inc. (CRD# 23407), a New Jersey-based broker-dealer, to approximately $205,000 in restitution to several of its customers. The sanctions[...]
In filings from earlier this month, the FTC revealed that fraudster Steven Dorfman, Founder and CEO of Simple Health Plans, had tens of millions of[...]
Thomas Edward Sova (CRD# 431135) was a previously registered broker and investment advisor. From 2007 to 2018, Mr. Sova was a representative of Hornor, Townsend,[...]
Kirk James Bertsch (CRD# 4132889) is a previously registered broker. From 2000 to 2018, Mr. Bertsch worked for Farmers Financial Solutions in Spearfish, South Dakota.[...]
Michael Patrick Murphy (CRD#: 2596905) is currently a registered securities broker. Since 2003, Mr. Murphy has been employed at Columbus Advisory Group in New York,[...]