Connecticut Broker Anthony Neil Wenham Suspended by FINRA for Concealing Losses
Former Stamford, CT, broker Anthony Neil Wenham was fined and suspended by FINRA for falsifying trading records to hide millions in losses.
Illinois Broker Linda Sokol Francis Barred by FINRA for Failing to Cooperate with Investigation
Learn why FINRA recently barred Jordan Paul Meadow after refusing to provide testimony in an investigation into an alleged insider trading scheme.
Jordan Paul Meadow Barred by FINRA Over Alleged Insider Trading
Learn why FINRA recently barred Jordan Paul Meadow after refusing to provide testimony in an investigation into an alleged insider trading scheme.
Second Circuit Upholds ERISA Protections in Morgan Stanley Deferred Comp Dispute
Learn why the Second Circuit’s ruling on Morgan Stanley’s deferred comp plan is a win for advisors, and how Sonn Law Group can help if you've been affected.
Five National Broker-Dealers Fined More Than $9M for Excessive Commissions
Learn why FINRA suspended Jarrett Carter Thomas and what you need to know about unauthorized transactions and the risk they pose to investment accounts.
SEC Charges Georgia Loan Executive with Running $140 Million Ponzi Scheme
Learn why FINRA suspended Jarrett Carter Thomas and what you need to know about unauthorized transactions and the risk they pose to investment accounts.
Jarrett Carter Thomas Suspended by FINRA for Unauthorized Transactions
Learn why FINRA suspended Jarrett Carter Thomas and what you need to know about unauthorized transactions and the risk they pose to investment accounts.
Jonathan Earl Best Sanctioned by FINRA for $14M Unauthorized Trades
Learn why FINRA suspended Jarrett Carter Thomas and what you need to know about unauthorized transactions and the risk they pose to investment accounts.
Derek Lee Copeland Barred by FINRA for Nearly $11M in Private Deals
Advisors are held to high standards not only in how they treat client The securities industry relies on clear rules from the Financial Industry Regulatory Authority (FINRA) to ensure that firms can supervise their brokers and protect clients. When a broker promotes "investment opportunities" outside of firm oversight, it often results in serious regulatory action. [...]
