A class action lawsuit is being filed on behalf of investors who purchased Vale Securities (NYSE: VALE) common stock between April, 11th, 2017 and January[...]
Investment Loss Investigations
A class action complaint has been filed in a Florida US District Court against Health Insurance Innovations (HIIQ). Click here to read the details of[...]
Vincent Joseph Storms (CRD#: 4969537) is a former financial advisor and compliance associate of Raymond James & Associates. From November 2015 to April 2017, he[...]
Industry regulator FINRA has barred broker Keith Malicki from acting as a broker or associating with any broker-dealer firms. The broker refused to appear for[...]
James Bradley Schwartz (CRD#: 3043085) is a previously registered FINRA broker. From December 2016 to February 2017, Mr. Schwartz was employed at Joseph Gunnar &[...]
William Gennity (CRD#: 4913490) is a previously registered securities broker. From October 2014 to November 2018, Mr. Gennity was employed at First Standard Financial Company[...]
Michael Rappa (CRD#: 4799159) was a registered broker from 2004 to 2017. Most recently, Mr. Rappa was employed at Foresters Equity Services, Inc. in San[...]
James Mewhinney III (CRD#: 857321) is a former registered broker and investment advisor. From 2009 to 2018, Mr. Mewhinney III was a representative of Morgan[...]
In 2018, the Securities and Exchange Commission (SEC) announced an emergency motion to halt securities offerings made by three California-based real estate investment companies. This[...]
FINRA has barred a former JP Morgan financial advisor, Bradley Curtis Williams, after an alleged check-kiting scheme. According to his BrokerCheck record, the bar follows[...]