Posts by category
- Category: Bad Broker Roundups
- Category: Broker / Advisor Investigations
- Morgan Stanley Loses Bid to Undo Adverse Ruling in Deferred Comp Suit
- What Are the Complaints & Regulatory Actions Against Spartan Capital Securities?
- MICHAEL SCOTT ROSENBACH TERMINATED FROM UBS FINANICAL SERVICES
- Sonn Law Announces That Morgan Stanley Finanical Advisors Win $3 Million in Deferred Compensation in FINRA Arbitration
- FINRA FINES BOLTON CAPITAL; CUSTOMER RECORDS EXPOSED IN A DATA BREACH
- Investor Lost $300,000 to an LPL Financial Advisor Who Recommended a Loan Strategy
- Ex-Morgan Stanley Brokers Must Arbitrate Class Claim Over Deferred Comp, Judge Rules
- Ex-Oppenheimer advisor sentenced to 8 years for $50M Ponzi scheme, Horizon Private Equity III
- Regulatory Settlement: LPL Penalized for Securities Violations
- Hoisting Expertise: Edward Jones Invests in Advisor Credentials
- An All-Inclusive Approval of Tax Legislation with Bonus Depreciation
- The Enforcement Actions Reference: SEC Charges Citigroup Subsidiaries for Regulatory Violations
- SEC vs. Coinbase: The SEC’s Allegations Against Coinbase
- The HyperFund Pyramid Scheme: A Legal and Financial Analysis
- SEC Charges Former CEO of Medical Device Startup Stimwave with $41 Million Fraud
- SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief
- $23.5 Million Investor Claims Filed Against Stifel Broker Chuck Roberts
- $23.5 Million Investor Claims Filed Against Stifel Broker Chuck Roberts
- SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud”
- New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U.S.
- SEC Charges Five Unregistered Brokers, Four Companies In Widespread Pre-IPO Fraud Scheme
- SEC Obtains Judgment Against Issuer and CEO for Unregistered Crypto Asset Securities Offering
- SEC Obtains Emergency Relief Freezing Assets of Investment Adviser Charged with Defrauding Elderly Clients
- SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
- SEC Order Asset Freeze For Nanban Ventures, LLC
- SEC Files Subpoena Enforcement Action Against Elon R. Musk Seeking an Order Compelling his Attendance for Investigative Testimony
- SEC Charges Agent Funds and Principals with Fraud and Registration Violations; Settles with Other Agent Funds to Registration Violations
- SEC Charges Virginia Resident with Operating a Ponzi Scheme that Targeted Chinese-American Community
- SEC Charges Investment Adviser Michael E. Lewitt with Stealing $4.7 Million from Fund Investors
- SEC Files Settled Fraud Charges Against New Orleans-Based Auditor and Its Principal
- SEC Charges Three Unregistered Dealers with Registration Violations
- SEC Charges Convicted Felon with Defrauding Seniors and Making Misleading Statements in SEC Filings
- SEC Charges Louisiana-Based Investment Adviser Representative with Cherry-Picking and His Former Firm with Compliance Failures
- SEC Charges EB-5 Operator with Securities Fraud
- SEC Charges Diagnostic Imaging Company and its former CEO for misrepresenting the manufacturing costs of its flagship device.
- SEC Shuts Down Zera Financial LLC Offering Fraud
- SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading
- SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger
- SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance
- SEC Charges 10 Firms with Widespread Recordkeeping Failures
- SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations
- RIA, Owner to Pay $2M to Settle SEC’s Cherry-Picking Charges
- SEC Charges Former Pareteum Executives with Accounting and Disclosure Fraud
- SEC Charges Exelon, its Subsidiary Commonwealth Edison, and Subsidiary’s Former CEO Anne Pramaggiore with Fraud in Connection with Political Corruption Scheme
- SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community
- SEC Charges Three Southern California Siblings with Insider Trading
- SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings
- SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors
- SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts
- SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds
- SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme
- SEC Charges GTT Communications for Disclosure Failures
- SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties
- SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations
- Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data
- SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors
- MJ Capital Board Member Gets 9 Yrs For $190M Ponzi Scheme
- SEC Charges Financial Professional with Insider Trading in His Company’s Securities
- SEC Charges Florida Resident and Resident’s Two Companies for Operating as Unregistered Broker-Dealers
- SEC Charges Texas CBD-Inhaler Company and Its CEO in Fraudulent Securities Offerings
- SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official
- SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule
- SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction
- SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking
- SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs
- SEC Charges Nuclear Battery Startup Company and Its CEO with Fraudulently Raising Over $1.2 Million from Investors
- SEC Charges Minnesota Based Company and Founder in Alleged Fraudulent Securities Offering
- SEC Investigation of Merriah Harkins Has Ended with No Action Taken, Re: In the Matter of GWG L Bonds
- SEC Bars James Anglim
- SEC Charges Fluor Corp. for Accounting Improprieties
- Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities
- SEC Charges Privately Held Monolith Resources for Using Separation Agreements that Violated Whistleblower Protection Rules
- SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers
- SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies
- SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors
- SEC Secures Judgments Against Ameritrust and Beespoke for Investor Fraud and Misappropriation
- SEC Obtains Judgments Totaling More Than $20 Million Against Microcap Company and Related Entity in Fraud Action
- The U.S. Securities and Exchange Commission (SEC) Charges China-Based Big Data Analytics Company
- The Securities and Exchange Commission (SEC) Obtains Preliminary Injunction and Asset Freeze Against Florida Resident Involved in Ponzi Scheme Targeting Religious Community
- The U.S. Securities and Exchange Commission (SEC) Secures Final Judgment Against Canadian Individual in Microcap Fraud Scheme
- SEC Charges North Carolina Man and Entities He Controlled with Fraud
- SEC Files Settled Fraud Charges Against Los Angeles-Based “Smart Ring” Company and Its Principal
- SEC Charges Virtu Americas With Inadequate Data Security and Misleading Institutional Clients
- SEC Charges Five Advisory Firms for Custody Rule Violations
- SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate
- SEC Charges Internet Message Board User in Alleged Market Manipulation Scheme
- SEC Charges North Carolina Man in Fraudulent “Free-Riding” Scheme
- SEC Charges Recidivist and Others in Real Estate Offering Fraud
- SEC Charges Accountant for Aiding and Abetting a $110 Million Ponzi Scheme and Orchestrating a Separate Fraudulent Scheme
- SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses
- SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports
- SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs
- SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary
- SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel
- SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading
- SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations
- SEC Charges UK Audit Firm, CEO, and Senior Auditor for Failures in Connection with De-SPAC Transaction
- SEC Sues Alleged Perpetrators of Fraudulent Multi-Level Marketing Scheme and Unregistered Offering
- SEC Obtains Nearly Nine Million Dollar Final Judgment Against Vika Ventures LLC
- Colombian Conglomerate Grupo Aval and Its Bank Subsidiary to Pay $40 Million to Settle FCPA Violations
- Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker, and Clearing Agency
- SEC Charges Investment Advisory Firm and Firm’s Owner for Breaching Fiduciary Duties to Clients
- SEC Charges Former Hedge Fund Managing Director with Fraud
- SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures
- SEC Charges Recidivist and Others in Offering Fraud Scheme
- SEC Obtains Consent Judgment Against Celebrity Charged with Illegally Touting Crypto Asset Securities for Crypto Entrepreneur Justin Sun
- Fund Administrator Charged For Missing Red Flags
- SEC Charges Electric Vehicle Company and Former CEO and CFO for Misconduct Related to Spac Transaction
- SEC Charges Massachusetts Resident with $1.2 Million Offering Fraud and Ponzi Scheme
- SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants
- SEC Charges Owners of Broker-Dealer with Aiding and Abetting Violations of Net Capital Requirements
- SEC Charges Florida Resident in Connection with Ponzi Scheme Targeting Religious Community
- SEC Charges Florida Investment Adviser a Second Time for Insider Trading
- SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder
- SEC Charges Unregistered Broker for Unlawful Sales of Securities to Retail Investor
- SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion
- SEC Charges New York Registered Representative with Fraud
- SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members
- SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading
- SEC Files Subpoena Enforcement Action Against Real Estate Broker
- SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors
- SEC Charges North Carolina Resident for Conducting Fraudulent and Unregistered Offerings of Crypto Asset Securities
- SEC Obtains Final Judgments Against Two Oregon Residents and Their Related Entities for Operating a $10 Million Ponzi-Like Scheme
- SEC Obtains Final Judgment Against Operator of Multi-Million Dollar Ponzi Scheme
- SEC Charges Virginia Man in Fraudulent “Free-Riding” Scheme
- SEC Charges Legendary Partners, LLC and its President with Reality TV Offering Fraud Targeting Mostly Elderly Investors
- SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities
- SEC Charges Former Florida Brokerage Representative with Defrauding Senior and Disabled Customers
- SEC Charges Additional Frank Executive with Fraud in Connection with $175 Million Sale of Student Loan Assistance Company
- New Hampshire Issuer of Crypto Asset Securities That Violated Registration Requirements Enjoined and Ordered to Pay Penalty
- SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange
- SEC Seeks to Halt North Carolina-Based Ponzi Scheme
- SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports
- SEC Obtains Final Judgments Against Former Public Company Chairman and Two Others in Fraudulent Filings and Pump-And-Dump Scheme
- SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members
- SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability
- SEC Brings Emergency Action related to Spartan Trading Company, LLC
- SEC Obtains Final Judgments Against Operators of Fake Trading Scheme Known as “EmpiresX”
- SEC Charges Former CFO of “Smart” Window Manufacturer, View Inc., for Failure to Disclose Company’s $28 Million Liability
- SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme
- SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement
- SEC Charges Former DWAC Board Member and Others for Insider Trading in DWAC Securities
- SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud
- SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
- Coral Springs man charged in $100 million ponzi scheme
- SEC Charges Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community
- SEC Charges Former Georgia Investment Adviser in Multipart Offering Fraud
- SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud
- SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme
- SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies
- SEC Charges Infinity Q Investment Adviser with Fraud; Seeks Monitor to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Private Fund
- SEC Charges Convertible Note Dealer and Its Owner for Failure to Register
- SEC Charges Microcap Company, Its CEO, and Former Consultant with Fraud and Registration Violations
- SEC Charges PIMCO for Disclosure and Policies and Procedures Failures
- SEC Charges Ohio Investment Adviser with Misappropriating Over $1.3 Million from a Retail Investor
- SEC Charges Two Individuals in Connection with Fraudulent Scheme to Illegally Sell Stock to the Public
- SEC Charges Pennsylvania Man in $30 Million Offering Fraud
- A Dealer Who Called Out the Art World’s Lack of Due Diligence Is Himself a Victim of Lisa Schiff’s Alleged Ponzi Scheme
- Umpqua Bank Hit with a Second, Multi-Million Dollar Lawsuit Over Alleged Role in Ponzi Scheme
- Federal judge certifies class action lawsuit against Eli Lilly
- SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme
- SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency
- SEC Charges Financial Advisor with Fraud for Stealing from Elderly Customers to Pay Personal Expenses
- This Bay Area bank ignored $350 million Ponzi scheme despite ‘obvious’ fraud, lawsuit
- The class action lawsuit claims that Chase Bank denies reimbursements for Zelle fraud incidents
- SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao
- SEC Charges Massachusetts-Based Firm and Its Co-Owners with Acting as Unregistered Securities Dealers
- SEC Charges Repeat Securities Law Violator with New Offering Fraud
- SEC Charges Self-Proclaimed ‘Queen of Mobile Homes’ and Three Salespeople with Fraud in Mobile Home Investment Scheme
- Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric
- Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities
- SEC Charges Additional Social Media Influencer in Stock Manipulation Scheme
- SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud
- Class Action Lawsuit Has Been Filed Against Charles River Laboratories International, Inc
- Jury Finds Deutsche Bank Liable for $95 Million in International Ponzi Scheme Suit
- SEC Obtains Final Judgments Against New York Investment Adviser and Others for Defrauding Investors in a Multi-Million Dollar Ponzi Scheme
- SEC Charges Microcap Company and Its Executives with Fraud
- SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts
- Utah Legislature Poised to Approve Settlement in Federal Grant Misuse Lawsuit
- TD Bank Resolves $1.2 Billion Lawsuit Tied to Allen Stanford’s Ponzi Scheme
- Deadline nears for Michigan workers to join $20M unemployment fraud settlement
- SEC Files Emergency Lawsuit Alleging Fraudulent Offering in Clean Energy Technology Association Case
- Wells Fargo Faces Class Action Lawsuit Alleging Assistance to Scam-Running Companies
- SEC Charges Florida Resident with Operating $5.9 Million Ponzi Scheme Targeting African-American Community
- SEC Alleges Son and Father-In-Law Touted Faith to Target Church Members in $20 Million Offering Fraud
- Stanley Black & Decker Faces Securities Class Action Lawsuit for Alleged Violations of Federal Securities Laws
- Lawsuit Filed Against Medical Properties Trust (MPW) for Deceptive Practices and Misrepresentation of Financial State
- Class Action Lawsuit Filed Against Edgio, Inc. (NASDAQ: EGIO) for Alleged Securities Violations During Class Period and Financial Restatements
- Credit Suisse Class Action Lawsuit: Alleged Violations of Securities Exchange Act of 1934
- SEC Files Charges in Fine Wine Investment Fraud Scheme
- SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency
- Plug Power Faces Lawsuit Over Allegedly False and Misleading Statements Regarding Business Operations
- SEC Charges Terraform and CEO Do Kwon with Defrauding Investors in Crypto Schemes
- Dutch Bros faces class-action lawsuit for securities violations
- Norfolk Southern Faces Securities Fraud Charges
- Sonn Law Group PA Files Arbitration Claim Involving Financial Advisor Caz Craffy and Continues to Investigate Other Potential Claims
- Match Faces Lawsuit Over Misleading Statements
- SEC Charges Founder of Frank with Fraud in Connection with $175 million Sale of Student Loan Assistance Company
- FTX influencers face $1B class-action lawsuit over alleged crypto fraud promotion
- Class action suit filed against Silicon Valley Bank parent
- Amgen Securities Fraud Class Action Lawsuit
- SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients
- SEC Charges Three Executives at U.S. Navy Shipbuilder Austal USA with Accounting Fraud
- SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading
- SEC Charges Crypto Trading Platform Beaxy and its Executives for Operating an Unregistered Exchange, Broker, and Clearing Agency
- Avi Bailo, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
- Thomas Edison Kelly Jr., Broker with Aegis Capital, Named in Customer Dispute Alleging Various Forms of Misconduct
- Jeffrey Donald Noard, Broker with Emerson Equity, Named in Customer Dispute Alleging Various Forms of Misconduct
- Marcus Boggs, Formerly of Merrill Lynch, Barred by SEC Following Allegations of Misappropriation
- Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation
- Miche Jean, Formerly of Morgan Stanley, Named in Complaint by FINRA Alleging Failure to Appear for Testimony
- Kevin Andrew Hobbs, Formerly of PFS Investments, Barred by FINRA Following Allegations of Trading Away
- SEC: Adam and Daniel Kaplan Inflated Fees, Misappropriated $5M from at Least 60 Clients
- Reza Hamid Taraz, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Unsuitable Recommendations
- Garrett Wayne Moretz, Broker with Lifemark Securities, Named in Customer Dispute Alleging Unsuitable Recommendations in GWG L-Bonds
- Caz Craffy Has Been Barred from the Financial Services Industry and Faces Lawsuits from Clients He Allegedly Fleeced
- Linda Jill Wimsatt, Broker with American Trust Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds
- Thomas Brian Swan, Broker with Western International Securities, Charged by SEC Under Regulation Best Interest for Recommending Unsuitable Investment Recommendations in GWG-L Bonds
- Scot Barringer, Broker with American Trust Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds
- Lauren Razar Matles, Broker with Wells Fargo, Named in Customer Dispute Alleging Failure to Follow Instructions
- Johanna Elise Laudicina, Broker with Wells Fargo, Named in Customer Dispute Alleging Failure to Follow Instructions
- Steven Todd Standley, Broker with D.H. Hill Securities, Named in Customer Dispute Alleging Unsuitable Losses in GWG-L Bonds
- Clark Owen, Broker with Cetera Investment Services, Named in Customer Dispute Alleging Losses in GWG-L Bonds
- Antoine Nabih Souma – Formerly of Insigneo Securities – Barred from Financial Services Industry
- Delio Eduardo Londono, Formerly with Sagepoint Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading
- Leo Li-Yuan Chien, Broker with Cetera Investment Services, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
- Peter Girgis, Formerly with SW Financial, Named in Customer Disputes Alleging Unsuitable Investment Recommendations and Unsuitable Trading
- Suihock Goy, Broker with NI Advisors, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds
- Stephen Robert Coma, Broker with Hilltop Securities, Named in Customer Dispute Seeking $13M in Damages
- William Worthen King, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unauthorized Trading
- Shirley Ank Wong, Broker with NI Advisors, Named in Customer Disputes Alleging Failure to Supervise and Unsuitable Recommendations
- Michele McAdoo Fane, Broker with Cadaret, Grant & Co., Named in Customer Dispute Alleging Failure to Supervise
- Adam Maggio, Broker with VCS Venture Securities, Named in Customer Dispute Alleging Various Forms of Misconduct
- Thais Drummond Piotrowski, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Robert Earl Turner, Formerly of Stifel, Nicolaus & Company, Barred by FINRA Following Allegations of Participating in Private Securities Transactions
- SEC Charges Ex-Advisor Joshua W. Coleman with $200M Loan Fraud Scheme
- Altin Tirana, Broker with LPL Financial, Suspended by FINRA Following Allegations of Falsifying a Representative Code
- Pawan Kumar Passi, Formerly of Morgan Stanley, Facing Customer Dispute Alleging Misrepresentation
- Michael Glenn Chandler, Broker with LPL Financial, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Overconcentration
- Michael Vincent Restagno, Broker with Aegis Capital, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
- Robert Leo Luley Jr., Formerly of Pruco Securities, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
- Palmery Robert Desir, Formerly of Richfield Orion International, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trades
- Steven Kiyoto Hirata, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Documents and Information
- John Nicholas Matson, Formerly of LPL Financial, Barred by FINRA Following Refusal to Provide Documents and Information
- Robert Wyla Melberth, Broker with Emerson Equity, Named in Customer Disputes Alleging Various Forms of Misconduct
- Edward Joseph Rudiger Jr., Broker with Reid & Rudiger LLC, Named in Customer Dispute Alleging Unsuitable Recommendations and Unauthorized Transactions
- Ariel Rivero, Broker with Insigneo Securities, Named in Customer Dispute Alleging Various Forms of Misconduct
- Adam Feierstein, Formerly of ProEquities, Inc., Named in Customer Disputes Following Recommendations of Unsuitable Investments
- Nicholas Michael Giallourakis, Broker with Newbridge Securities Corporation, Named in Customer Dispute Alleging Various Forms of Misconduct
- William Randall Moening, Broker with Wells Fargo, Named in Customer Dispute Alleging Misrepresentation
- David Richard Geake, Broker with American Trust Investment Services, Facing Six Pending Customer Disputes Alleging Unsuitable Investment Recommendations in GWG L Bonds
- Michael Jon Binstock, Broker with CreativeOne Securities, Named in Customer Disputes Alleging Broker Misconduct
- Kimberly Elizabeth Nuessmann, Formerly of Securities America, Suspended by FINRA Following Allegations of Impersonating a Deceased Client
- John Nicholas Terzis, Formerly of LPL Financial, Barred by FINRA Following Allegations of Borrowing Money From an Elderly Customer
- Andrew Fredric Perry, Broker with Wells Fargo, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
- Keith Michael Dagostino, Broker with Aegis Capital, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
- John Dennis Lowry, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Failure to Disclose Arbitration Filings and Resolutions
- Howard Hao-Chung Hsieh, Broker with Cetera Investment Services, Named in Customer Disputes Alleging Unsuitable Recommendations and Breach of Fiduciary Duty
- Michael Murray Knittel, Formerly of Fortune Financial Services, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction Without Firm Approval
- Adam Tucker Boyce, Broker with Citizens Securities, Named in Customer Disputes Alleging Misrepresentation
- Timothy Jude Pagliara, Formerly of CapWealth Investment Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Unsuitable Recommendations
- Martin Bradley Winges, Broker with Momentum Independent Network, Named in Customer Dispute Alleging Misrepresentations and Unsuitable Recommendations
- Michael Richard Rosalia, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Recommendations, Churning, and Other Misconduct
- Jonathan Eric Ellefson, Broker with Intervest International Equities Corporation, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct
- Clinton Edward Curtright, Broker with Morgan Stanley, Named in $6M Customer Dispute Alleging Misrepresentation and Violation of Regulation Best Interest
- Richard Alan Maas, Broker with LPL Financial, Named in Customer Dispute Alleging Lack of Diversification
- Dennis Stephen Oleszkowicz, Broker with UBS Financial Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty and Negligence, Among Other Misconduct
- Scott Erik Aabel, Broker with Spire Securities, Named in Customer Dispute Alleging Unsuitable Recommendations in GWG L-Bonds
- Dana Bruce Vietor, Formerly of CFD Investments, Named in Customer Disputes Alleging Breach of Fiduciary Duty, Unsuitability, and Other Misconduct
- Matthew Stern Buchsbaum, Broker with UBS Financial Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitability
- Adam Jesse Gurien, Broker with Merrill Lynch, Named in Customer Dispute Alleging Misrepresentation and Unsuitability
- Lawrence Merl, Formerly of David Lerner Associates, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
- Todd Michael Venturino, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading
- Todd Michael Perry, Broker with Wells Fargo, Named in Customer Dispute Alleging Misrepresentation and Unsuitability
- Dusty Lynn Sternadel, Formerly of Ameriprise Financial Services, Barred by FINRA Following Failure to Respond to Appear for Testimony
- Ex-JPMorgan Broker Edward Turley Barred by from Financial Services Industry
- Michael William Mandarino, Broker with G.A. Repple & Company, Named in Customer Dispute Alleging Unsuitable Recommendations of GWG Holdings Bonds
- Pamela Denise Lawson, Formerly of Lawson Financial Corporation, Suspended by FINRA Following Failure to Comply with Arbitration Award
- Amanda Yvonne Berry, Formerly of MML Investors, Barred by FINRA Following Failure to Respond to Request for Information
- David Del Rio, Formerly of LPL Financial, Barred by FINRA Following Failure to Respond to Request for Information
- Robert Charles Mehlin, Formerly of Coastal Equities, Suspended by FINRA Following Allegations of Unauthorized Trading
- David Lyle Bahnsen, Formerly of Hightower Securities, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- William Patrick Gamble, Broker with Trust Investment Services, Named in Customer Dispute Alleging Unauthorized Trades
- Suihock Goy, Broker with NI Advisors, Named in Customer Disputes Alleging Unsuitable Investment Recommendations in GWG-L Bonds
- John Anthony Sommo, Formerly of UBS Financial Services, Barred by FINRA Following Refusal to Respond to FINRA Requests for Information
- Charles Vincent Malico, Formerly of Network 1 Financial Securities, Suspended by FINRA Following Allegations of Excessive Trading
- Morgan Darby Hill, Broker with Arete Wealth Management, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
- Sean Sullivan, Broker with Sovereign Global Advisors, Named in Customer Dispute Alleging Unauthorized Trading
- Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Allegations of Excessive Trading
- Dennis David Karjala, Formerly of LPL Financial, Suspended by FINRA Following Allegations of Providing a Guarantee Against Losses
- Robert Morgan Vance, Broker with Moloney Securities Co., Named in Customer Disputes Alleging Unsuitable Recommendations and Negligence
- Cheryl Lynn Young, Broker with Rockefeller Financial, Named in Customer Dispute Alleging Unsuitable Recommendations
- Christopher Thomas Fusco, Formerly of Joseph Stone Capital, Named in Customer Dispute Alleging Unsuitable Recommendations and Excessive Trading
- David Khezri, Formerly of Network 1 Financial Securities, Barred by FINRA Following Allegations of Unsuitable Recommendations
- Peter Kyung Hoon Rhee, Broker with Cetera Advisors, Facing Customer Disputes Alleging Unsuitable Investment Recommendations and Negligence
- Peter James Fetherson, Formerly of Aegis Capital, Charged by FINRA with Converting Customer Funds
- Richard Foerster Reynolds, Formerly of SW Financial, Facing Customer Dispute Alleging Churning, Unauthorized Trading, and Fraud
- Matthew Gates, Broker with VCS Venture Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations and Excessive Trading
- Anthony John Pitta, Broker with Capital Investment Group, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
- Kenneth James New, Broker with Center Street Securities, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
- Joseph Albert Ambrosole, Formerly of Joseph Stone Capital, Barred by FINRA After Allegations of Unsuitable Trading
- Gregory William Melendez, Broker with Laidlaw & Company, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments
- Kevin Richard Wilson, Formerly of SW Financial, Facing Multiple Customer Disputes Alleging Misrepresentations and Other Misconduct
- Brian Charles Kennedy, Broker with Cambridge Investment Research, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments
- Jon Paul Cirelli, Broker with Coastal Equities, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violations of Securities Laws
- Jon Raymond Lee, Broker with AAG Capital, Named in Customer Dispute Concerning Recommendation of L Bonds in GWG Holdings
- Paul Wesley Witthauer, Broker with G.A. Repple & Company, Named in Customer Dispute Concerning Recommendation of L Bonds in GWG Holdings
- Bradley Allen Goodbred, Formerly of LPL Financial, Charged by SEC with Stealing from an Elderly Investor
- David Sheldon Wells, Formerly of Fifth Third Securities, Charged by SEC with Misappropriating Clients’ Funds
- Patrick Cody, Broker with Merrill Lynch, Named in Customer Dispute Alleging Unsuitable Investments, Among Other Misconduct
- Charles Frederik Lek, Broker with Lek Securities Corporation, Named in FINRA Complaint Alleging Failure to Supervise
- Jimmy Yang Driggers, Formerly of Morgan Stanley, Named in Pending Customer Dispute Seeking $4M in Damages
- Daniel Todd Lerner, Broker with David Lerner Associates, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments
- Matthew Bahrenburg, Broker with CFD Investments, Named in Customer Dispute Alleging the Sale of Private Investments.
- James Travis Flynn, Formerly of Voya Financial Advisors, Barred by FINRA Following Failure to Comply with Arbitration Award
- Jeffrey Daniel Basford, Formerly of David Lerner Associates, Barred by FINRA Following Refusal to Appear for Testimony
- John Hillman Timberlake, Formerly of Carter, Terry & Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments and Unauthorized Trades
- Mark Alan Cline, Formerly of National Securities Corporation, Named in Multiple Customer Disputes Alleging Sale of Unsuitable Investments in GWG Holdings
- Dispute Between TV Host Wendy Williams and Wells Fargo Advisors Intensifies Following Allegations of Refusal to Grant Access to Accounts
- Daniel Minich, Formerly of Ameriprise Financial Services, Suspended by FINRA Following Participation in Private Securities Transactions
- Ashley Marie Bolson, Formerly of CFD Investments, Named in Customer Dispute Alleging Fraud, Negligent Misrepresentation, and Violations of the Iowa Securities Act
- Herman Laibe Kahn, Formerly of Kestra Investment Services, Named in Customer Dispute Alleging Misrepresentation and Unsuitable Investment Recommendations
- David Scott Mirolli, Broker with Kalos Capital, Named in Multiple Customer Disputes Alleging Recommendation of Unsuitable Investments
- Joseph Patrick Roop, Formerly of Dempsey Lord Smith, Named in Customer Dispute Alleging Improper Recommendations and Suitability Issues
- Stephen Yauman Kwan, Broker with Madison Avenue Securities, Facing Customer Disputes Alleging Unsuitable Recommendation of GPB Capital Investments
- Jeffrey Adam Miller, Broker with UBS Financial Services, Facing Customer Dispute Alleging Unsuitable Concentration in Gold and Silver
- John Sebastion Cangialosi, Formerly of SW Financial, Named in Customer Dispute Alleging Churning and Unauthorized Trading, Among Other Misconduct
- Thomas Wilson Murray, Broker with Wells Fargo, Facing Customer Dispute Alleging He Solicited an Outside Investment Opportunity Unauthorized by His Firm
- Edward Turley, JP Morgan Face $56M Claim Alleging Misrepresentation and Unsuitable Trading
- Did You Suffer Significant Investment Losses with Ex-J.P. Morgan Broker Edward Turley?
- Michael James Petyak, Broker with Calton & Associates, Facing Customer Dispute Alleging Lack of Diversification
- Joseph Lee Moses, Broker with Sentinus-Halo Securities, Facing Customer Dispute Alleging Misconduct
- Richard Noel Fredette, Formerly of Cantella & Company, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
- Seth Barnes Stewart, Formerly of Center Street Securities, Named in Customer Disputes Unsuitable Investment Recommendations
- Scott Jay Matalon, Formerly of RBC Capital Markets, Named in Customer Dispute Alleging Negligence
- Thomas Paul Tibaldi, Broker with Citigroup Global Markets, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
- Joseph Ijong Chu, Broker with RBC Capital Markets, Facing Customer Disputes Alleging Unsuitable Concentration of Certain Investments
- Alpine Securities, Former CEO and Current CEO Charged by SEC with Engaging in Unauthorized Securities Transactions
- Manish Saini, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Participating in a Private Securities Transaction
- William Word Huthnance, Broker with UBS Financial Services, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
- Lawrence William Catena, Broker with Morgan Stanley, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
- Doris Lau, Broker with Cetera Investment Services, Facing Customer Dispute Unsuitable Investment Recommendations
- Anthony Thomas Megaro, Broker with Park Avenue Securities, Facing Customer Dispute Alleging Forgery of Client Signatures
- Douglas Albert Dulac, Broker with United Planners’ Financial Services of America, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments and Fraud
- Barbara Ann Bernatzky, Formerly of Henley & Company, Barred by FINRA Following Refusal to Appear for Testimony
- Paul Francis Gallivan, Formerly of Alliance Global Partners, Charged by SEC in Connection with Sales of Variable Interest Rate Structured Products
- James David Beaudoin, Broker with Great Point Capital, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
- Richard Glenn Shaw, Broker with Lincoln Financial Advisors, Facing Customer Disputes Alleging Recommendation of Unsuitable Investments
- Murray Todd Petersen, Formerly of Ameriprise Financial Services, Named in Multiple Customer Disputes Alleging Fraud and Negligence
- Marlene Yacenda, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Harassment
- Jiaqi Chen, Broker with Cetera Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
- Jennifer Marcontell, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Failure to Follow Instructions
- Jason Paul Collichio, Broker with Landolt Securities, Facing Customer Disputes Alleging Unsuitable Investment Recommendations
- Christopher Michael Setaro, Broker with NPM Securities, Facing Customer Dispute Alleging Failure to Supervise
- Francis Joseph Velten, Formerly of Ameriprise Financial Services, Named in FINRA Complaint Alleging Failure to Respond
- Adam Thomas Marquardt, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Testimony
- Chad Ryan Barancyk, Formerly of First Allied Securities, Suspended by FINRA Following Failure to Respond to Requests for Information
- Vincent Anthony Virga, Formerly of Madison Avenue Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable Alternative Investments
- Scott Michael Rosenberg, Broker with UBS Financial Services, Named in Multiple Customer Disputes Alleging Recommendations of Unsuitable Investments and Misrepresentation
- Mark Smith, Formerly of Transamerica Financial Advisors, Barred by FINRA Following Refusal to Appear for Testimony
- Sonn Law Investigating Financial Advisors Christian Deberadinis and Gianluca Deberardinis
- Linda Rotsztein, Formerly of Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Dylan Casey Hales, Broker with Edward Jones, Named in Customer Dispute Alleging False and Misleading Information
- David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations in GWG L Bonds
- Michael Alejandro Castillero, Formerly of Windsor Street Capital, Charged by SEC with Operating Ponzi-like Scheme
- Jeffrey Brian Forehand, Broker with First Allied Securities, Named in Customer Dispute Alleging Recommendations of Unsuitable, High-Risk Investments
- Todd Dwain Gauthier, Broker with Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Linda Rotsztein, Formerly of Trust Investment Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Kenneth David Blumberg, Broker with Stifel Nicolaus & Company, Named in Customer Dispute Alleging Recommendations of Unsuitable Investments
- Thomas James Baumann, Formerly of Spartan Capital Securities, Under Investigation by FINRA Following Allegations of Churning
- Craig Lee Carson, Broker with Intervest International Equities Corporation, Ordered by SEC to Cease and Desist Following Allegations of Breaching Fiduciary Duty
- Ann Louise Werts, Broker with Madison Avenue Securities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
- Eric Shea Hollifield, Formerly of LPL Financial, Charged by SEC with Misappropriating Over $1.7M
- Penny Gail Flippen, Formerly of H.D. Vest Investment Services, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme
- Britt Franklin Wright, Formerly of Edward Jones, Charged in SEC Complaint Alleging Operation of a Ponzi Scheme
- Former Client of Shawn E. Good Files a Lawsuit Against Morgan Stanley for Lack of Supervision
- Xiangyu Yu Zhang, Formerly of Wells Fargo, Facing Pending Customer Disputes Alleging Unsuitable Recommendations
- Eric Edward Nicolassy, Broker with Network 1 Financial Securities, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading
- David Randall Lehnertz, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Marc Frederick Korsch, Formerly of Centaurus Financial, Facing Pending Customer Disputes Alleging Unsuitable Recommendations of GWG L Bonds
- Tobin Carl Hoffmann, Broker with Ameritas Investment Company, Facing Customer Dispute Alleging Misrepresentation Regarding an Investment
- Randall John Mason, Broker with Cetera Advisors, Facing Customer Dispute Alleging Recommendation of an Unsuitable Investment
- Glen Mackenzie Dowden, Broker with Citizens Securities, Facing Customer Dispute Alleging Recommendation of an Unsuitable Investment
- Steve Jeffrey Cummings, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- Arthur Grossbard, Broker with Ameriprise Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
- Michael Joseph Whitaker, Broker with Newbridge Securities Corporations, Facing Customer Dispute Alleging Breach of Fiduciary Duty
- Kennister Ulesley Daley, Broker with Allstate Financial Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
- Virgil Arthur Biggs, Broker with Avantax Investment Services, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
- Lawrence Merl, Broker with David Lerner Associates, Facing Customer Dispute Alleging Recommendation of Unsuitable Investments
- Christopher Dyer Queen, Broker with Wells Fargo, Facing Customer Dispute Alleging Breach of Fiduciary Duty
- John August Van Wambeke, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Keep Clients Updated
- Debra Lynn Clark, Broker with Hornor, Townsend & Kent, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Thomas Craig Bonds, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Robert Earl Turner, Formerly of Stifel, Nicolaus & Company, Named in Multiple Customer Disputes Alleging Misappropriation and Fraud
- Nikolay Zotenko, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Engaging in Misleading Marketing of Private Placements
- Eduardo Moliterno Da Cruz, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses
- Daniel Arthur Evans, Broker with Wells Fargo, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
- Neal Edwin Nakagiri, Formerly of NPB Financial Group, Facing Customer Disputes Alleging Negligence, Unauthorized Trading, and Other Misconduct
- Kenia Naves Rocha, Broker with EFG Capital International, Facing Customer Dispute Alleging Excessive Investment Losses
- Vincent Bernard Mastrovito, Formerly of J.W. Cole Financial, Facing Pending Customer Disputes Alleging Unsuitable Recommendations
- Joseph Langlois, Broker with DFPG Investments, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- Michael Walter Mandel, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Participated in a Private Securities Transaction Without Approval
- Andrew Bruce Elsoffer, Formerly of Stifel, Nicolaus & Company, Suspended by FINRA Following Allegations of Unauthorized Trading
- Bentley Edward Blackmon, Formerly of Stephens, Suspended Following Allegations of Participation in Private Securities Transactions Without Notice
- Arkady Ginsburg, Broker with Aegis Capital, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading
- SEC Charges Morgan Stanley Broker Shawn E. Good with Defrauding Clients in Ponzi Scheme
- Andrew Perry Hess, Formerly of Ameriprise Financial Services, Facing Pending Customer Dispute Alleging Failure to Diversify Portfolio
- Richard Guy Duncan, Formerly of Ausdal Financial Partners, Named in Customer Disputes Alleging Recommendation of Unsuitable Investments
- Shad Ray Ketcher, Broker with J.W. Cole Financial, Facing Pending Customer Dispute Alleging Unsuitable Recommendations
- Carlos A. Estima, Broker with Insigneo Securities, Facing Pending Customer Dispute Alleging Investment Losses
- Paul William Murphy, Broker with Calton & Associates, Facing Pending Customer Disputes Alleging Various Forms of Misconduct
- Allan G. Snider, Formerly of Oppenheimer & Co., Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
- Robert C. David, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations David Falsified Customers’ Account Profile Information
- Central American Couple Pursues 6-Figure Northstar Financial Services (Bermuda) Claim Against Ocean Financial Services
- John Winslow, Formerly of Edward Jones, Barred by FINRA Following Refusal to Provide Information
- Marianne O’Shee Smith, Formerly of Cetera Advisors, Barred by FINRA Following Diversion of Client Funds
- Tony Barouti, Broker with Emerson Equity, Named in Customer Dispute Alleging Losses in Customer Accounts
- Vincent Leonard Petrangelo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Failure to Supervise
- Jorge Luis Alfonso, Formerly with Snowden Account Services, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Lance Colby Watson, Broker with Dominion Investor Services, Named in Customer Dispute Alleging Losses in Customer Accounts
- John Todd Davis, Broker with Edward Jones, Named in Customer Dispute Alleging Failure to Follow Instructions
- John Dalton Phillips, Formerly with MetLife Securities, Named in Customer Dispute Alleging Misrepresentations and Omissions
- Kevin Marshall McCallum, Formerly with LPL Financial, Named in Customer Dispute Alleging Overconcentration of Investments
- Joshua Nathan Helmle, Formerly with Integrity Brokerage, Named in Customer Dispute Alleging Failure to Satisfy Supervisory Duties
- Mitchell Howard Hirsch, Broker with Fortune Financial Services, Named in Customer Dispute Alleging Breach of Fiduciary Duty
- Roy Daniel Budd, Broker with Morgan Stanley, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
- Chadwick Collins, Broker with Wedbush Securities, Named in Multiple Customer Disputes Alleging Misconduct in Handling Customers’ Accounts
- Edmund Paul Murphy, Formerly of Robert W. Baird & Co., Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
- Faith Read Xenos, Broker with MSEC, LLC, Named in Customer Dispute Alleging Overconcentration in Customers’ Accounts
- Dustin Chase, Broker with JP Morgan, Named in Customer Dispute Alleging He Conspired With A Third Party to Change A Beneficiary
- David Sanford Wolfe, Broker with Aaron Capital, Named in Customer Dispute Alleging The Mishandling of An Account
- Esmeralda Espinoza, Formerly of First Financial Equity, Named in Customer Dispute Alleging Lack of Information
- Derek Christopher Roy, Broker with Fidelity Brokerage Services, Named in Customer Dispute Alleging He Withheld Material Information
- George Paul Fill, Broker with Rockwell Financial Group, Named in Customer Dispute Alleging Unauthorized Trades
- Jason Leonard Garofalo, Broker with Ameriprise Financial Services, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
- Gerald James Ohalloran, Broker with Union Capital Company, Named in Customer Dispute Alleging Recommendation of Unsuitable Investments
- Eric Shea Hollifield, Formerly of LPL Financial, Files Lawsuit Alleging LPL Financial’s Responsibility for Misappropriation of Funds
- Dale Edward Wright, Formerly of Cambridge Investment Research, Placed on Probation by Virginia State Corporation Commission
- Nicholas John Kraiko, Formerly of National Securities Corporation, Barred by FINRA Following Refusal to Respond to Requests for Information
- Brian Kenneth Court, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct
- Peter Joseph Klein, Broker with Hightower Securities, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
- Joseph Francis Valdini, Formerly of Aegis Capital, Named in Customer Dispute Alleging Churning
- Craig Jay Sherman, Formerly of Wynston Hill Capital, Suspended by FINRA Following Allegations of Failure to Supervise
- Robert Jonathan Spencer, Formerly of Cetera Advisor Networks, Barred by FINRA Following Refusal to Produce Documents and Information
- Christopher Edward Bond, Broker with National Securities Corporation, Suspended by FINRA Following Allegations of Unauthorized Trading
- Howell Gregory Ferguson, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Forged a Client’s Signature
- Paul Richard McGonigle, Formerly of LPL Financial, Indicted on Fraud and Money Laundering Charges
- Dennis Phillip Ayre, Formerly of Hilltop Securities, Barred by FINRA Following Refusal to Appear for Testimony
- Todd Michael Hayse, Broker with Wells Fargo, Named in Customer Dispute Alleging Unauthorized Trading
- Darryl Cohen, Formerly of Morgan Stanley, Facing Multiple Pending Customer Disputes Alleging Misrepresentation
- Ronald Scott Bright, Formerly of Edward Jones, Suspended by FINRA Following Allegations of Unauthorized Transactions
- Mark Lee Elafros, Broker with Charles Schwab, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Dinu Marian Tise, Formerly of Ameriprise Financial, Suspended By FINRA Following Allegations of Unethical Actions
- Joel Paul Kichline, Broker with Stifel Nicolaus & Company, Fined by FINRA Following Allegations of Unauthorized Trading
- Scott Michael Bremus, Formerly of LPL Financial, Discharged Following Allegations of Facilitating Private Securities Transactions Without Approval
- Michael John Wagner, Broker with Morgan Stanley, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations and Misrepresentation
- Joshua David Nicholas, Formerly of Merrill Lynch, Barred by FINRA Following Allegations of Converting Customer Funds
- David Norman Adams, Broker with Ameriprise Financial Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations
- John Frank Donoso, Broker with Newbridge Securities Corporation, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- SEC Accuses German Nino – Weston Florida Financial Advisor – of $5.8 million Theft
- Travis Jerome Hughes, Broker with Cetera Advisors, Facing Pending Customer Disputes Alleging Unsuitable Investment Recommendations
- Ping Shuang Cathy Wu, Broker with Cetera Advisors, Facing Pending Customer Disputes Alleging Unsuitable Investment Recommendations
- Nathan Paul Macdonald, Broker with Cetera Advisors, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- Frank Lucien Van Houten, Formerly of LPL Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Eric Shea Hollifield, Formerly of LPL Financial, Barred by FINRA Following Refusal to Appear for Testimony
- William Nicholas Athas, Formerly of SW Financial, Named in Customer Dispute Alleging Unsuitable Trading and Breach of Fiduciary Duty
- Steven Michael Richardson, Broker with LPL Financial, Named in Customer Dispute Alleging Excessive Trading
- Christina Lindsey Orta, Broker with Cambridge Investment Research, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- Roderick K Von Lipsey, Broker with UBS Financial, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation
- Kirk Edward Pickell, Broker with Janney Montgomery Scott, Facing Pending Customer Dispute Alleging Unsuitable Investments
- Jeffrey Daniel Basford, Broker with David Lerner Associates, Facing Pending Customer Disputes Alleging Unsuitability and Misrepresentation
- David John Volpe, Formerly of LPL Financial, Named in Customer Dispute Alleging Conversion of Client Funds
- Peter Werner David, Formerly of Woodbury Financial, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- Sean Donovan Casterline, Broker with Delta Securities, Suspended by FINRA Following Allegations of Participation in Private Securities Transactions
- David Robert Kennon, Formerly of First Allied Securities, Facing Pending Customer Disputes Alleging Various Misconduct
- Michael Shillin Permanently Barred by SEC Following Allegations He Defrauded Over 100 Clients
- Andrew James Pravlik, Broker with Coastal Equities, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
- John Quinn, Formerly of Valic Financial Advisors, Suspended by FINRA Following Allegations of Participating in Private Securities Transactions Without Approval
- Dennis Daniel Herrera, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct
- Joseph Augustien Lianzo, Broker with SW Financial, Suspended by FINRA Following Allegations of Failure to Supervise
- Nicholas Fougler Taggart, Broker with IMST Distributors, Named in Customer Dispute Alleging Unsuitable Alternative Investment Recommendations
- Brian Michael Jackson, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Mark Sam Kolta, Formerly of Worden Capital Management, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
- Bret Clinton Schaefer, Broker with Landolt Securities, Facing Pending Customer Dispute Alleging Unauthorized Trading and Unsuitable Investment Recommendations
- Paul Michael Fiacable, Formerly of JP Morgan, Facing Pending Customer Dispute Alleging Breach of Fiduciary Duty and Misappropriation of Funds
- Brian Kenneth Court, Broker with Aegis Capital, Facing Pending Customer Dispute Alleging Various Forms of Misconduct
- Daniel Lawrence Pimental, Formerly of Wells Fargo, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
- Devin Wicker, Formerly of JVB Financial Group, Barred by FINRA Following Allegations of Converting Customer Funds
- Terry Tzagarakis, Formerly of Spartan Capital Securities, Suspended by FINRA Following Failure to Disclose Outstanding Federal Liens
- James Lee Greene, Broker with B. Riley Wealth Management, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- Antonio Almeida, Formerly of Worden Capital Management, Suspended by FINRA Following Failure to Disclose a Felony Charge
- Shay W. Scruggs, Broker for Rockefeller Financial, Facing Pending Customer Dispute Alleging Unsuitable Investments
- Kenneth Anthony Luccioni, Formerly of Triad Advisors, Facing Three Pending Customer Disputes Alleging Unsuitable Investments
- James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes
- Daniel Lee Holman, Formerly of Cambridge Investment Research, Named in Customer Dispute Alleging Misrepresentation of Unsuitable Products
- Frederick Mark Atiyeh, Broker with Crown Capital Securities, Facing Customer Disputes Alleging Overconcentration and Unsuitable Recommendations
- James William Dunn, Formerly of Ameriprise Financial Services, Facing Five Pending Customer Disputes
- Roland Terrence Molo, Formerly of Edward Jones, Suspended by FINRA Following Failure to Respond to Requests for Information
- Jesus Rodriguez, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Provide Information
- Joseph Michael Giordano, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise
- Roberto Birardi, Broker with Aegis Capital Corp., Suspended by FINRA Following Allegations of Failure to Supervise
- Michael Paul Francoeur, Formerly of Cambridge Investment Research, Barred by FINRA Following Refusal to Provide Information
- William LeBoeuf, Ohio-based Investment Advisor, Suspended by FINRA Over Alleged Unauthorized Private Securities Transactions
- Clara Tang, Formerly of Cetera Investment Services, Accused of Recommending Unsuitable Investments
- David John Melilli, Formerly of Sagepoint Financial, Barred by FINRA Following Allegations of Unauthorized Trades
- Garrett Manning, Broker with MML Investors, Suspended for Three Months by FINRA
- Adam Jeffrey Nash, Formerly of Pruco Securities, Accused of Failing to Provide Records
- Guilford Ward Nergard, Formerly of Raymond James & Associates, Suspended Following Allegations of Unauthorized Trading
- Abdul Matin Rahmani, Formerly of Joseph Stone Capital, Barred by FINRA Following Allegations of Undisclosed Outside Business Activities
- Marc Korsch, Formerly of Arkadios Capital, Named in Multiple Customer Disputes Alleging Unsuitable Recommendations
- William Edward Torriente Jr., Formerly of Comerica Securities, Named in Customer Dispute Seeking $500k
- Carl Damien Gill, Formerly of United Planners’ Financial Services of America, Facing Multiple Pending Customer Disputes
- Paul Warren Vizanko, Formerly of Wells Fargo, Barred by FINRA Following Refusal to Respond to Information Request
- Jeffrey Alan Kiensnoski, Broker with Concorde Investment Services, Named in Customer Dispute Seeking $1M in Damages
- James Seijas, Formerly of Wells Fargo, Accused of Defrauding Investors in Alleged Ponzi Scheme
- Sarah Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages
- NJ Financial Advisor Kenneth Welsh Accused of Fleecing Clients of $2.86M
- Kevin Anthony Butler, Broker with Morgan Stanley, Named in Customer Dispute Seeking $1.5M in Damages
- Jon Peter Lindberg, Formerly of ProEquities, Inc., Named in Two Pending Regulatory Disputes
- Marcus Angelo Beasley, Formerly of Supreme Alliance, Barred by FINRA Following Allegations of Offering Unregistered Securities
- Xiao Qin Komischke, Broker with Cetera Investment Services, Named in Customer Dispute Seeking $500k in Damages
- Marc Augustus Reda, Broker with Spartan Capital Securities, Named in FINRA Complaint Alleging Churning in Customer Accounts
- Kevin Carey Doyle, Formerly of Raymond James & Associates, Censured by Oklahoma Department of Securities
- Roy Joseph Failla, Broker with Arive Capital Markets, Named in Customer Dispute Alleging Unsuitable Recommendations
- Scott Robert Rahn, Formerly of LPL Financial, Target of Investigation Concerning Unsuitable Trades
- Edgar Kleydman, Formerly of MML Investors Services, Barred by FINRA Following Refusal to Appear for Testimony
- Jamie John Worden, Formerly of Worden Capital Management, Barred by FINRA Following Refusal to Produce Information
- James Wightman Wilcox, Broker with First Republic Securities, Named in Customer Disputes Alleging Unsuitable Investment Allegations
- Nicholas R. Palumbo, Formerly of Park Avenue Securities, Barred by FINRA Following Refusal to Produce Information
- Louis Martin Wargo, Broker with FSC Securities, Named in Multiple Customer Disputes Alleging Overconcentration
- Brett Arthur Hartvigson, Broker with Independent Financial Group, Named in Multiple Customer Disputes Alleging Overconcentration
- William Colie Johnson, Broker with Cadaret, Grant & Co., Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
- Perry De Leeuw, Formerly of PFS Investments, Barred by FINRA Following Failure to Comply with Arbitration Settlement Agreement
- Jeremy Fortner, Formerly of Wells Fargo, Discharged Following Allegations of Borrowing Money from Clients
- Jeffrey Dampf, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Testimony
- Alan Harold New, Formerly of NYLife Securities, Barred by FINRA Following Refusal to Provide Documents and Information
- Barry Steven Snyder, Formerly of Snowden Account Services, Named in Customer Dispute Seeking $500k in Damages
- Maria Florencia Calcena, Broker with Infinex Investments, Named in Customer Dispute Alleging Negligence, Breach of Fiduciary Duty, and Violation of Florida’s Investor Protection Act
- Michael Shillin, Barred Wisconsin Broker, Charged by SEC with Defrauding Over 100 Clients
- Patrick Brown, Formerly of Merrill Lynch, Named in Customer Dispute Settled for $1.3 Million in Damages
- Scott Niekamp, Broker with Northwestern Mutual Investment Services, Suspended by FINRA for Three Months
- Charles Alan Blatz, Broker with Benjamin F. Edwards & Company, Named in Customer Dispute Seeking $1.5M in Damages
- Matthew Gates, Broker with Primary Capital, LLC, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Walter Morrow Allen, Formerly of Cetera Advisors, Barred by FINRA Following Refusal to Provide Information
- Christopher George Orlando, Formerly of Spartan Capital Securities, Barred by FINRA Following Allegations of Excessive Trading
- Alfonse Joseph Stazzone, Formerly of Monmouth Capital Management, Suspended by FINRA Following Allegations of Excessive and Unsuitable Trading
- Joseph Whitney, Formerly of UBS Financial Services, Denied Registration by New Jersey Bureau of Securities
- Robert Henderson Jr., Broker with San Blas Securities, Suspended by FINRA for 13 Months
- Thomas Ward Stratton, Formerly of World Choice Securities, Barred by FINRA Following Investigation into Misuse of Customer Funds
- Martin Ruiz, New York Investment Adviser, Charged with Defrauding Clients and Misappropriating Client Funds
- Gerald Allen Eaton, Boston Investment Advisor, Pleads Guilty to Stealing Over $3.7 Million in Client Funds
- Ronnie Metcalf, Broker with Cetera Advisors, Accused of Failure to Supervise
- Lyle Wesley Davis, Broker with Wilson-Davis & Co., Agrees to FINRA Settlement Alleging Failure to Supervise
- Christ Elias Baltas, Formerly of Worden Capital Management, Named in Customer Dispute Alleging Unauthorized Trading and Unsuitable Recommendations
- James Rudnick, Florida Real Estate Developer, Charged by SEC with Fraud
- George Heckler, Unregistered Investment Adviser, Charged by SEC with Misleading Investors
- Daniel James O’Neill, Formerly of NYLife Securities, Named in FINRA Complaint Alleging Excessive and Unsuitable Trading
- Geoffrey Thompson Charged by SEC with Selling Unregistered Securities
- Narith Long, Formerly of NYLife Securities, Named in Customer Dispute Alleging Unauthorized Securities Transactions and Unsuitable Recommendations
- Joseph Michael Fedorko, Jr., Broker with Laidlaw & Co. (UK), Named in Customer Dispute Alleging Churning and Unauthorized Trading
- Samuel Mancini, Colorado Fund Manager and CEO, Charged with Securities Fraud, Wire Fraud, and Money Laundering
- Kenric Lamont Sexton, Formerly of Wells Fargo, Suspended by FINRA Due to Allegations of Misrepresentations on a Loan Application
- Henry Chia-How Chang, Broker with Laidlaw & Company (UK), Named in Customer Dispute Alleging Selling Away
- Patrick William Naughton, Broker with LPL, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Mark Allen Upchurch, Formerly of Centaurus Financial, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Michael Frank Paesano, Formerly of Morgan Stanley, Named in Three Pending Customer Disputes Alleging Excessive Trading
- Gary Max Bowman, Broker with SagePoint Financial, Suspended for 3 Months Following Allegations of Unsuitable Investment Recommendations
- David Richard Geake, Broker with American Trust Investment Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations
- Jan Earl Haynes, Formerly of Integrity Brokerage Services, Named in Customer Dispute Seeking $125K in Damages
- Tyler Rigsbee, Formerly of Wells Fargo, Barred by FINRA Following Allegations of Misappropriating Client Funds
- Douglas Edward Szempruch, Formerly of Aegis Capital Corp., Suspended by FINRA for One Year
- John Henry Swon, Formerly of Royal Alliance Associates, Barred by FINRA Following Refusal to Produce Information
- Philip Donald Beviano, Broker with Signature Securities, Named in Multiple Pending Customer Disputes Alleging Misrepresentations
- Steven Ira Hein, Broker with Kestra Investment Services, Named in Customer Dispute Alleging Numerous Forms of Misconduct
- Kyle Jensen Kirwan, Broker with Kalos Capital, Named in Customer Dispute Alleging Breach of Fiduciary Duty
- Todd Ray Anderson, Broker with Benchmark Investments, Named in Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- Francisco Javier Valenzuela, Formerly of Morgan Stanley, Named in Two Pending Customer Disputes
- Janie Garza-Clark, Formerly of SagePoint Financial, Named in Customer Complaint Alleging Unsuitable Investment Recommendations
- Nathan Gersteen Katz, Formerly of Triad Investors, Barred by FINRA Following Refusal to Produce Information
- Steve Berrocal, Broker with Truist Investment Services, Named in Three Pending Customer Disputes Alleging Unsuitable Investment Recommendations
- Christopher Bice, Broker with SagePoint Financial, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations
- David Fenning, Broker with Morgan Stanley, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Louis Kreisberg Barred by FINRA Following Refusal to Produce Information
- Edward Earl Matthes, Formerly of Mutual of Omaha Investor Services, Sentenced to Over 5 Years in Federal Prison
- Paul Richard McGonigle, Formerly of LPL Financial, Accused of Defrauding Elderly Clients
- Property Income Investors and its Founder, Larry Brodman, Charged by SEC with Operating Real Estate Scam
- James Mark Senglaub, Broker with Independent Financial Group, Named in Customer Dispute Seeking Over $300K in Damages
- Walter Leighton Stallones, Broker with Momentum Independent Network, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Dermond Thomas Cavanaugh, Formerly of Merrill Lynch, Named in Customer Dispute Seeking $50M in Damages
- Richard Evan Baer, Broker with Lion Street Financial, Facing Multiple Customer Disputes Seeking Over $1.75M Collectively
- Brent Charles Bunger, Broker with Lion Street Financial, Named in Pending Customer Dispute Seeking $850K
- Grant Christopher Birkley, Formerly of Sagepoint Financial, Barred by FINRA Following Refusal to Produce Documents and Information
- Abhishek Sheth, Broker with National Securities Corporation, Accused of Recommending GPB Capital Investments
- William Ard, Broker with Morgan Stanley, Named in Customer Dispute Seeking $6.5M in Damages
- Leif David Olson, Broker with Wells Fargo, Named in Customer Dispute Seeking $400k in Damages
- John Wade Loofbourrow, Formerly of Demopolis Capital, Facing Customer Dispute Alleging Investments in Ponzi Scheme
- James Frederic Bowdish, Broker with Edward Jones, Named in customer Dispute Alleging Failure to Pay Life Insurance Premiums
- Rudolf Molnar, Broker with Ameriprise Financial, Named in Customer Dispute Alleging Unsuitable Recommendations
- Mark Barrand, Broker with Ameriprise Financial Services, Facing Customer Disputes Alleging Unsuitable Recommendations
- Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages
- Adam Belardino, Formerly of MML Investors, Suspended by FINRA Following Failure to Appear for Testimony
- Randy Scott Larson, Broker with Arete Wealth Management, Named in Arbitration Claim
- Joey Dale Miller, Broker with Arete Wealth Management, Named in Arbitration Claim
- Brian Sanguinet, Broker with Arete Wealth Management, Named in Arbitration Claim
- William Herman Dixon, Formerly of Securities America, Barred by FINRA After Refusing to Provide Requested Documents
- Candido Jose Viyella, Formerly of Morgan Stanley, Barred by FINRA Following Refusal to Appear for Testimony
- Jason Dipaola, Formerly of Chardan Capital Markets, Named in FINRA Investigation Following Allegations of Trading in His Mother’s Account
- Maxwell Drever, California-Based Real Estate Developer, Charged by SEC Following Allegations of Misleading Investors
- Robin Vail Platt, Broker with Hancock Whitney Investment Services, Accused of Unsuitable Investment Recommendations
- Tyler Tysdal, Owner of Cobalt Sports Capital, Accused of Defrauding Investors
- Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages
- Matthew Clason, Formerly of LPL Financial, Pleads Guilty to Wire Fraud
- Andrew Burish, Broker with UBS Financial Services, Named in Customer Dispute Seeking Over $23M in Damages
- Gregory Hersch, Broker with Old City Securities, Named in Customer Dispute Seeking Over $1M in Damages
- Customer Wins $436,110 against Charles Schwab and Pinnacle Associates Ltd. in Options Dispute.
- John Lee Scott, Formerly of LPL Financial, Barred by FINRA After Refusing to Appear for Testimony
- David Michael Logsdon, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Sean Westbrook, Broker with Stifel, Nicolaus & Co., Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- John Gilbert Simpson, Formerly of JP Morgan, Named in Customer Dispute Alleging Misrepresentation
- Scott Fergang, Broker with Stifel, Nicolaus & Co., Suspended by FINRA Following Allegations of Unauthorized Trading
- Jonathan P. Maroney, Owner of Harbor City Capital Corp., Charged by SEC With Misappropriating Investor Funds and Operating Ponzi Scheme
- Larry Ramos Mendoza, Resident of Miami, Indicted For $21 Million Investment Fraud
- Joia Evans, Formerly of TIAA-CREF, Barred by FINRA Following Refusal to Provide Information
- David John Melilli, Formerly of Sagepoint Financial, Named in FINRA Investigation Alleging Recommendation of Unsuitable Investments
- Michael Robert Greenfield, Broker with Newbridge Securities, Named in Multiple Customer Disputes Alleging Negligence
- Brian Maguire, Formerly of Goldman Sachs, Barred by FINRA Following Allegations of Insider Trading
- Gilbert Cox, Formerly of NYLife Securities, Barred by FINRA After Refusing to Requested Information
- Steven Melen, Formerly of Morgan Stanley, Suspended by FINRA Following Failure to Disclose Rental Property
- Les Leroy Barber Jr., Broker with Royal Alliance Associates, Accused of Recommending Unsuitable Private Placements
- Daniel Poland, Broker with McNally Financial Services, Accused of Recommending GPB Capital Private Placements
- Louis Olave, Broker with Lincoln Investment, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations
- Mazair Monshi, Broker with IFP Securities, Named in $3.9M Customer Dispute Alleging Unsuitable Recommendations
- Paul Inouye, Formerly of Union Square Advisors, Suspended by FINRA Following Allegations of Failure to Disclose Two Felony Charges
- Evan Schottenstein, Formerly of JPMorgan, Banned by FINRA Following Allegations of Trading Grandmother’s Assets Without Her Knowledge
- Michael Cohn, Former CCO of GPB Capital, Sentenced to 9-Months House Arrest
- Scott Wolfrum, Formerly of David A. Noyes Company, Ordered to Cease and Desist by SEC
- Cubby Bice, Broker with Sagepoint Financial, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations
- Candice Montie, Broker with Moloney Securities, Suspended by FINRA Following Allegations She Participated in Private Securities Transactions Without Approval
- Alan Price, Formerly of Edward Jones, Named in FINRA Complaint Alleging He Borrowed Money from Customers
- Raymond Velasco, Formerly of LPL Financial, Suspended by FINRA For Creating False Termination Letters
- Frank Sapareto, Formerly of Trustmont Financial, Charged in FINRA Complaint Alleging Concealment of an Outside Business Activity
- Kevin Schaefer, Broker with Wells Fargo, Accused of Recommending Unsuitable Investments
- Ignacio Erhart Del Campo, Formerly of Insigneo Securities, Suspended by FINRA Following Allegations of Trading in Deceased Client’s Account
- Trevor Rahn, Formerly of JP Morgan, Suspended by FINRA Following Allegations of Unauthorized Trading
- Michael Cohn, Former CCO of GPB Capital, Avoids Prison Time in SEC
- David Wall, Formerly of Voya Financial, Named in Three Pending Customer Disputes Alleging Unsuitable Recommendations
- Jeffrey Stanga, Broker with FMN Capital, Suspended by FINRA Following Allegations He Failed to Disclose the Nature of His Outside Business Activities
- Chad Mackland, Formerly of Lion Street Financial, Barred by FINRA Following Refusal to Provide Information
- Jessica Richman and Zachary Apte, Co-Founders of uBiome, Inc., Charged by SEC with Defrauding Investors Out of $60 Million
- Isaiah Goodman, Founder of MoneyVerbs, Pleads Guilty to One Count of Mail Fraud
- Federal Government Seeking 6-Month Prison Sentence for Michael Cohn, Former CCO of GPB Capital
- Efrain Trujillo, Formerly of Western International Securities, Barred by FINRA Following Allegations of Failure to Supervise
- Brian Wurdemann, Broker with RBC Capital Markets, Named in Customer Dispute Seeking $1M in Damages
- Michael Shillin, Barred Wisconsin Broker, Named in Five New Customer Disputes in February 2021 Alone
- George Marshall Warner, Formerly of Chelsea Financial Services, Barred by FINRA For Failing to Produce Information
- Nedjeen Baptiste, Formerly of JP Morgan, Barred by FINRA Following Refusal to Produce Information
- Jason Dworak, Broker with UBS Financial Services, Facing Two Pending Customer Disputes Alleging Unsuitable Investment Recommendations
- Rhett Bedwell, Formerly of LPL Financial, Barred by FINRA For Refusing to Provide Information
- Keith Simmons, Broker with Merrill Lynch, Facing Customer Dispute Seeking $1M in Damages
- Matthew Platnico, Broker with Allied Millennial Partners, Facing Over $1.5M in Pending Customer Disputes
- Darryl Cohen, Broker with Morgan Stanley, Facing Customer Dispute Seeking $5M in Damages
- Tamber King Proctor, Formerly of Securities America, Named in Customer Dispute Alleging Unsuitable Recommendations
- Javelin Mikol San Nicolas, Formerly of Edward Jones, Barred by FINRA After Refusing to Provide Information
- Megurditch Mike Patatian, Formerly of Western International Securities, Charged by FINRA with Unsuitable Investment Recommendations
- Elliot Smerling – Florida Fund Manager at JES Global Capital – Accused of Forging Investment Documents to Obtain $95M Loan
- David Jenson, Formerly of Great Nation Investment Corporation, Barred by FINRA Following Refusal to Produce Information
- Scott Reed, Formerly of First Financial Equity, Barred by FINRA Following Allegations He Participated in Unauthorized Private Securities Transactions
- Evan Schottenstein, Formerly of JP Morgan, Accused of Abuse of Fiduciary Duty and Misrepresentation
- Avi Elliot Schottenstein, Formerly of JP Morgan, Named in $69M FINRA Judgment
- Cory Davern, Broker with Valic Financial Advisors, Facing Customer Dispute Alleging Unsuitable Investment Recommendations
- Michael Nigro, Broker with MML Investors Services, Facing Pending Customer Dispute Alleging Misrepresentation and Unsuitable Recommendations
- James Schaedler Jr., Formerly of Wells Fargo, Barred by FINRA Following Refusal to Produce Information
- Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Charged by SEC with Stealing Client Funds
- Cynthia Cowden, Formerly of NPB Financial Group, Barred by FINRA Following Allegations of Recommending Unsuitable Investments
- Valerie Ceballos, Formerly of Wells Fargo, Barred by FINRA After Refusing to Appear for Testimony
- Brian Rando, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Information
- Matthew Garrett, Formerly of MML Distributors, Barred by FINRA Following Failure to Respond to Request for Information
- Daniel Levine, Formerly of Morgan Stanley, Barred by FINRA After Failing to Provide Requested Information
- Miguel Rivera Jr., Formerly of Westpark Capital, Accused of Recommending Unsuitable Investments
- Sumitro Pal, Formerly of Morgan Stanley, Facing Pending Customer Dispute Seeking $1.5 Million in Damages
- Galen Kopman, Formerly of Centaurus Financial, Facing Pending Customer Dispute Alleging He Recommended Unsuitable Investments
- Joe Franklin, Formerly of LPL Financial, Facing Pending Customer Dispute Seeking Over $150K in Damages
- Christopher Lawrence Phillips, Broker with RBC Capital, Facing Pending Customer Dispute Seeking Over $350K in Damages
- Ryan Tarjanyi, Formerly of Trustmont Financial Group, Named in FINRA Investigation Alleging Various Forms of Misconduct
- James Kenneth Couture, Formerly of LPL Financial, Barred by FINRA Following Refusal to Produce Information
- Robyn Simons, Formerly of Berthel, Fisher & Company, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- Gary Hammond, Former North Carolina Broker, Barred by FINRA Following Allegations of Participating in Private Securities Transactions Without Written Notice
- Andrew Slocum, Formerly of Charles Schwab, Barred by FINRA After Failing to Respond to Information Request
- Michael Shillin, Formerly of Alliance Global Partners, Barred by FINRA After Refusing to Provide Documents or Information
- Former Broker Joseph Alhadeff Barred by FINRA After Refusing to Provide Information and Documents Requested
- Jose Cornide Jr., Broker with UBS Financial, Facing 8 Pending Customer Disputes Alleging Unsuitable Recommendations and Misrepresentation
- Forrest Jones, Formerly of Merrill Lynch, Facing Pending Customer Dispute Alleging Unsuitable Investment Recommendations
- Former Broker Zachary Scott Wagner Barred by FINRA After Refusing to Provide Testimony in Connection with Investigation Concerning Potential Misuse of Customer Funds
- Ryan Raskin Barred by FINRA After Failing to Provide Information and Documents Requested
- David Zupek, Broker with Concorde Investments, Facing Two Pending Customer Disputes
- Barry Lemay, Broker with Concorde Investments, Facing Pending Customer Dispute Involving Suitability Claims
- Michael Ecker, Formerly of Concorde Investments, Facing Pending Customer Dispute Alleging Overly Concentrated Investments in Unsuitable Illiquid REITs
- Randy Birkinbine, Broker with Ausdal Financial Partners, Facing Pending Customer Dispute Alleging Unsuitable Investments and Concentration in Illiquid Investments
- FINRA Suspends Angel W. Bardeche Over Allegations of Unsuitable Mutual Fund Trading
- James McPherson, Formerly of Great Point Capital, Facing Pending Customer Disputes Alleging Unsuitable Investments
- Gene Esplin, Formerly of Kalos Capital and Triad Advisors, Named in Customer Dispute Seeking $1M in Damages
- Gretchen Marie Schorr, Formerly of Moloney Securities, Facing Customer Dispute Alleging Solicitation of Unsuitable Recommendations
- Jason Howell Poff, Broker with Allstate Financial, Facing FINRA Complaint Alleging Engagement in Unapproved Outside Business Activities
- Worden Capital Management LLC Consents to AWC Letter Alleging Failure to Supervise, Resulting in Excessive Trading and Unsuitable Investment Recommendations
- Joseph Hershey Pratt, Barred by FINRA in 2019, Named in Customer Dispute Seeking $232K in Damages
- Herbert Weith IV, Formerly of Wells Fargo, Facing Customer Dispute Seeking $260K in Damages
- Lanny Howarter, Broker with Crown Capital Securities, Facing Customer Dispute Claiming Over $600K in Damages
- Charles Thomas Stevens, Formerly of D.H. Hill Securities, Facing Customer Dispute Seeking $100K in Damages
- Nicholas Palumbo, Formerly of Park Avenue Securities, Under Investigation for Alleged “Selling Away”
- Rich Jackman, Broker with Crown Capital Securities, Facing $4M Customer Dispute Alleging Unsuitable Recommendations
- Gihan Anil Fernando, Broker with BOK Financial Securities, Facing $1M Customer Dispute Alleging Unsuitable Recommendations
- Tatyana Bunich, Broker with Independent Financial Group, Facing Customer Dispute Alleging Unsuitable REIT Investment
- Thomas Fross, Broker with LPL Financial, Facing Customer Dispute Alleging Unsuitable Portfolio Changes
- Merrill Lynch Pays Record $26.25M in Fines and Restitution in New Hampshire Case Involving Ex-Broker Charles E. Kenahan.
- Angelo Kafkes, Broker with Wells Fargo, Facing $100K Customer Dispute Alleging Unsuitable Recommendations
- Gregory Walter McCloskey, Formerly of Newport Coast Securities, Facing FINRA Complaint Alleging He Participated in Two Undisclosed Private Securities Transactions
- Bryan Mazliach, Formerly of Westpark Capital, Facing Allegations of Excessive and Unsuitable Trading
- Douglas Schmitz, Broker with Classic, LLC, Facing Customer Dispute Alleging Lack of Fiduciary Responsibility
- Gary Ginsberg, Formerly of Royal Alliance Associates, Facing Customer Dispute Involving Alternative Investment Losses
- Shaun Stein, Broker with National Securities Corp., Facing Customer Disputes Alleging Unsuitable Investments
- Peter Kohli, Formerly of Trustmont Financial Group, Facing 5 Pending Customer Disputes Alleging Various Forms of Misconduct
- Matthew Platnico, Broker with Allied Millennial Partners, Facing Over $1.5M in Pending Customer Disputes
- Michael Bell, Broker with Cetera Advisor Networks, Facing Customer Dispute Alleging Unsuitable, Over-Concentrated Investments
- Felipe Henao Vargas, Broker with Insigneo Securities, Facing $1.3M Customer Dispute Involving VIX Short-Term Futures ETN
- Tatyana Moyseevna Bunich, Broker with Independent Financial Group, Facing Two Customer Disputes Alleging Unsuitable Investments
- Maurice McKinney, Broker with Concorde Investment Services, Facing $1M Customer Dispute Regarding REIT Investments
- David Taddeo, Broker with LPL Financial, Facing Pending Customer Dispute Alleging Issues with Variable Annuity Income Withdrawals
- Felix Chu, Formerly of NY Life, Facing Two Pending Customer Disputes Alleging Unsuitable Promissory Note Investments
- Matthew Nekuza, Formerly of TD Ameritrade, Barred by FINRA Over Allegations of Conversion of Firm Funds and Providing False Testimony
- Ivan Shore, Oppenheimer Financial Advisor, Accepts FINRA Suspension Over Alleged Pattern of Unsuitable Recommendations
- Royce Running, Broker with Centaurus Financial, Facing Customer Dispute Alleging Unsuitable and Illiquid Investment Recommendations
- Kevin Fretz, Formerly of LPL Financial, Facing Allegations of Unsuitable Investment Recommendations in Non-Traded REITs
- Vonna Kay Husby, Formerly of Raymond James Financial Services, Barred by FINRA Over Failure to Cooperate with Investigation
- Chris Tolmacs, Formerly of Triad Advisors, Facing Customer Dispute Alleging Unsuitable Investments
- SEC Charges Adam P. Rogas, Founder of NS8, Inc., With Fraud; Investors May Have Options for Recovery
- Charatie A. Seelye Among 60 Defendants Charged in $300M Telemarketing Fraud Scheme Targeting Seniors
- Brooklynn Chandler Willy Suspended by Texas Securities Regulator Over Alternative Sales to Conservative Investors
- James Geake, Broker with Madison Avenue Securities, Subject of Multiple Settled Customer Disputes Alleging Misconduct
- Samuel Izaguirre, Broker with LPL Financial, Facing $600K Customer Dispute
- Brendan Shaw, Formerly of Purshe Kaplan Sterling Investments, Facing Three Pending Customer Disputes Alleging Unsuitable Investments and Excessive Trading
- Tony Esses, Broker with Wells Fargo, Facing Customer Dispute Alleging Fraud
- Christopher Fernan, Formerly of Salomon Whitney Financial, Barred by FINRA Over Failure to Provide Testimony
- Troy Baily, Formerly of Sagepoint Financial, Suspended by FINRA While Facing $135K Customer Dispute Alleging Improper Investment Recommendations
- John H. Geary, Formerly of LPL Financial, Suspended by FINRA Following Allegations He Exercised Discretion Without Written Authorization
- Travis Nelson, Formerly of Charles Schwab, Suspended Over Allegations of Forging Client Signatures
- Pratul Agnihotri, Broker with SW Financial, Suspended and Fined Over Alleged Outside Business Activities
- Rodney Stuart Ferguson, Broker with NY Life, Facing $170K Customer Dispute Alleging Unsuitable Recommendations
- Joseph Chu, Broker with RBC Capital Markets, Facing Over $2M in Customer Disputes Involving Energy Sector Losses
- Jonathan Freeze, Formerly of Fortune Financial Services, Facing 8 Pending Customer Disputes
- David Turetzky, Formerly of Morgan Stanley, Facing 3 Pending Customer Disputes Alleging Failure to Supervise Management of Customer Accounts
- Brian DiBrino, Broker with American Portfolios Financial Services, Facing $625K in Customer Disputes Alleging Negligence and Breach of Fiduciary Duty
- Lonna Rae Dehn Ristvedt, Formerly of LPL Financial, Suspended by FINRA Over Allegations of Engaging in Private Securities Transactions
- Neemit Shah, Formerly of Northwestern Mutual, Suspended and Fined Over Alleged Unapproved, Private Securities Transactions
- David Tucker, Formerly of Brooklight Place Securities, Facing Administrative Action by State of Florida Over Alleged Misconduct
- Stephen Whittaker, Formerly of First Financial Equity, Fined and Suspended by FINRA Over Allegations of Unreported Outside Business Activities
- Robert Meyer, Broker with Monmouth Capital Management, Suspended by FINRA Over Alleged Unsuitable Trading
- Michael Bell, Broker with Cetera Advisor Networks, Named in Customer Dispute Seeking $237K in Damages
- Alec Franks, Formerly of First Standard Financial, Barred by FINRA Over Failure to Cooperate with Investigation into Alleged Outside Business Activities and Excessive Trading
- Nina Maines, Broker and Investment Adviser with Cadaret, Grant & Co., Suspended by FINRA Following Allegations of Unauthorized Discretionary Trading
- Corbin Lambert, Former CEO of Continuum Financial, Charged by SEC with Conducting Cherry-Picking Scheme
- Lindner Capital Investors and its Founder, Robert J. Lindner, Charged by SEC
- Craig Zabala, Owner of Concorde Group Holdings, Charged with Fraud by SEC
- Andrew Perri, Investment Adviser with Pinnacle Wealth Management, Named in Customer Dispute Alleging Unsuitable Recommendations
- Michael Martino, Broker with Four Points Capital Partners, Facing Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
- John Orlando, Broker with SW Financial, Facing Pending Customer Disputes Over Unsuitable Investment Recommendations
- William Baumner, Broker with TradeSpot Markets, Named in Customer Disputes Alleging Unsuitable Investment Recommendations
- Monty Cerf, Broker with UBS Financial, Named in Multiple Customer Dispute Seeking Over $19M in Damages
- Neil James Buono, Formerly of Taylor Capital, Barred by FINRA Following Allegations of Forging Client Signatures
- Ronald Birnbaum, Broker with Advisory Equity Services, Named in Four Customer Disputes Seeking Over $600K in Combined Damages
- Marshall Isaacson, Formerly of Newbridge Securities, Barred by FINRA After Refusing to Provide Documents and Information
- Michael Kamperman, Formerly of HD Vest Investment Services, Named in Multiple Customer Disputes Seeking $600K in Damages
- Cygnus Capital Management and Late CEO Richard Ventrilla Charged by SEC with Fraud
- Craig Foreman, Broker for Edward Jones, Facing Customer Dispute Alleging Fraud
- Jeffrey Dillman, Broker for Trustmont Financial, Named in Customer Dispute Seeking Over $375K in Damages
- Scott Fries, Formerly of TransAmerica Financial Advisors, Charged by SEC with Defrauding Clients
- Paul Antevy, Broker with FMSBonds, Named in $500K Customer Dispute Alleging Junk Bond Sales
- Frank Mastrosimone, Broker with Pruco Securities, Accused of Making Inappropriate Private Investment Recommendation
- Kevin Meadows, Formerly of IBN Financial Services, Named in Customer Dispute Alleging Unsuitable Recommendations
- Carl Schwartz and RRBB Asset Management, LLC Charged by SEC with Conducting Cherry-Picking Scheme to Defraud Investors
- Michael Cohn, Former Chief Compliance Officer for GPB Capital Holdings, Pleads Guilty to Theft of Government Property
- Steven Rodemer, Formerly of Stifel, Nicolaus & Company, Fined by SEC Following Allegations of Scamming an Elderly Client
- Steven Fitzgerald Brown, Owner of Alpha Trade Analytics, Charged By SEC with Fraud
- Phillip Conley, Formerly of Merrill Lynch, Indicted for Role in Fraudulent Securities Offering
- Peter Ianace, Formerly of Wells Fargo, Barred by FINRA For Refusing to Cooperate with Investigation
- Rani Soto, Formerly of Prudential Investment Management, Named in FINRA Complaint Alleging Failure to Disclose Outside Business Activities
- Gary Wykle and Alejandro Cortes, Principals of The Republic Group, Charged by SEC for Engaging in Alleged Ponzi Scheme
- Matthew Clason, Formerly of LPL Financial, Charged by SEC With Stealing Client Funds
- Joseph Woitkoski, Formerly of Raymond James Financial Services, Suspended by FINRA Following Allegations of Exercising Discretion in Clients’ Accounts
- Christopher Lee Hibbard, Formerly of Merrill Lynch, Pleads Guilty to Fraud Charges
- Mark Boucher, Formerly of Raymond James Financial Services, Charged by SEC with Fraud
- Coral Gables Asset Management and Owner, David Coggins, Charged by SEC with Fraud
- Ohio Broker Dominic A. Tropiano Charged by SEC with Fraud
- Joseph LaForte, Founder of Par Funding, Seeks Release from Prison, Consents to SEC’s Control of Company Until Civil Case is Resolved
- Minish “Joe” Hede and Kevin Graetz, Formerly of Paulson Investment Company, Charged by SEC Following Allegations of Selling Away
- Charles Burchard, Formerly of Allstate Financial Services, Barred by FINRA Following Allegations of Engaging in Undisclosed Business Activities
- William Aubrey Morrow, Broker with Concorde Investment Services, Facing Customer Dispute Seeking $100K in Damages
- Robert Gianchiglia, Advisor for USA Financial Securities, Named in $200K Customer Complaint Alleging Misrepresentation
- Mark Wojno, Formerly of Berthel, Fisher & Company, Accused of Recommending Unsuitable Investments
- Mary Martinez, Financial Adviser of Glencoe, Indicted on Fraud Charges
- Forouzan Pooladi, Formerly of JP Morgan, Barred by FINRA After Failing to Cooperate
- Ross Barish, Broker with Joseph Stone Capital, Charged with Fraud by SEC
- Kevin Gunnip, Formerly of Morgan Stanley, Barred by FINRA Following Allegations of Unsuitable Short-Term Trading
- Ernest Mishne, Broker with Oppenheimer & Co., Named in Pending Complaint Seeking $440K
- Daniel Pimental, Broker with Wells Fargo, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Christopher Reid, Formerly of Morgan Stanley, Suspended Following Allegations of Outside Trading
- Christopher Pullaro, Broker for Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Joseph LaForte, Founder of Par Funding, Arrested on Weapons Charges
- Jack Brewer, Formerly of Brewer Capital Management, Charged by SEC with Insider Trading
- Sylvester Knox, Formerly of Merrill Lynch, Suspended by FINRA for Alleged Unauthorized Trading and Failing to Disclose Felony Indictment
- Raymond Ferro – Ex-Woodbury Financial Broker – Faces Allegations of Theft
- Christopher Bennett, Formerly of Hilliard Lyons, Barred by FINRA After Failing to Provide Documents
- Frederick Levine, Broker with RBC Capital Markets, Suspended by FINRA Following Allegations of Unsuitable Recommendations
- Joseph Michaletz, Broker with DAI Securities, Facing Customer Disputes Over GPB Capital Investments
- Charles Kulch, Formerly of Next Financial Group, Accusing of Over-Concentrating Portfolios
- Stephen Sloane, Broker for Westpark Capital, Charged by FINRA with Recommending Unsuitable Investment Strategies
- Bryant Caveness, Formerly of Ameriprise Financial Services, Barred by FINRA Over Ethics Violations
- Mark Hopkins, Formerly of American Portfolios Financial Services in Michigan, Charged by SEC with Misappropriating Client Funds
- Robert Buffington, Formerly of Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
- Scot Fairchild, Broker with Lucia Securities, Named in Customer Dispute Seeking Over $200K in Damages
- Thomas Kelly Jr., Broker with Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
- James Daughtry, Formerly of Kestra Investment Services, Sued for Alleged Fraud and Theft
- Gene Esplin, Formerly of Kalos Capital, Named in Customer Dispute Seeking $1M in Damages
- David Hu, Co-Founder of International Investment Group, Charged in Alleged Ponzi Scheme
- Dustin Shafer, Formerly of Money Concepts Capital, Named in Multiple Customer Disputes Seeking Over $500K
- Scott Reed, Broker for First Financial Equity, Resigns from Wells Fargo Following Allegations of Selling Away
- James Kirchner, Formerly of David A. Noyes & Company, Accused of Making Unsuitable Investment Recommendations
- Kevin Rainwater, Broker for Arkadios Capital, Accused of Recommending Unsuitable Investments
- Jeffrey McHale, Broker for Ameriprise Financial Services, Accused of Recommending Unsuitable Investments
- Eladio Santiago, Formerly of UBS Financial, Named in Two Customer Disputes Alleging Unsuitability
- Have You Suffered Losses Investing with Merrill Lynch Broker Charles E. Kenahan?
- James Flanagan, Broker with Independent Financial Group, Named in Customer Dispute Seeking Over $100K
- William Frier, Formerly of Parkland Securities, Accused of Recommending Leveraged ETFs
- Wenjinn Chang, Broker for Independent Financial Group, Named in Customer Dispute Alleging Unsuitable Investments
- Mark Reinstein, Formerly of Sandlapper Securities, Facing Multiple Customer Disputes Alleging Unsuitable Recommendations
- Robert David, Formerly of Morgan Stanley, Facing Multiple Customer Disputes Alleging Misconduct
- Viqas Akhtar, Broker for National Securities Corporation, Named in Multiple Customer Disputes Alleging Unsuitability
- Barry Pechenik, Broker for Morgan Stanley, Named in Customer Dispute Seeking $1M in Damages
- Kerri Jamison, Broker with Newbridge Securities, Named in Customer Disputes Seeking Almost $400k
- Michael Catoggio, Former CEO of First Standard Financial, Suspended By FINRA for Two Months and Order to Pay Fine
- Sampson Pearson Jr., Formerly of Northwestern Mutual Investment Services, Accused of Defrauding Clients
- Kevin Nevin, Formerly of Sandlapper Securities, Named in a Customer Dispute Alleging Unsuitable Investment Recommendations
- Richard Kelton, Formerly of Northwestern Mutual Investment Services, Named in Customer Dispute Seeking Over $690K
- Atul Makharia, Broker with Centaurus Financial, Facing Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
- Dennis Haywood II, Formerly of Crown Capital Securities, Named in Multiple Customer Disputes Alleging Unsuitable Recommendations
- Frank Venturelli, Formerly of First Standard Financial Company, Suspended by FINRA Following Allegations of Excessive Trading
- Ryan Bowers, Formerly of Enviso Capital, Named in Multiple Customer Disputes Alleging Misrepresentation
- Ralph Jackson, Broker with Morgan Stanley, Named in Multiple Customer Disputes
- Dennis Mehringer Jr., Formerly of Western International Securities, Named in $3M Customer Dispute
- David Atlee, Formerly of Triad Advisors, Accused of Unsuitable Recommendations in GPB Capital Holdings
- Albert Dishner, Broker for Morgan Stanley, Fined and Suspended by FINRA
- Susan Penney, Broker for Kovack Securities, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- David Austin, Formerly of JP Morgan, Barred by FINRA Following Allegations He Stole $144K from Customers
- Dee Dee Brooks, Formerly of Signator Investors, Barred by FINRA Following Unapproved and Undisclosed Outside Business Activities
- Dwayne Mark Tidwell, Investment Advisor with Grand Parkway Capital, Accused of Unsuitable Recommendations and Misrepresentations
- Joe Allbright, Formerly of Farmers Financial Solutions, Suspended Following Allegations He Engaged in Unauthorized Private Securities Transactions
- Matthew Muratori, Formerly of Pruco Securities, Barred by FINRA for Failing to Provide Testimony
- Arni Diamond, Formerly of Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Kevin Dziubela, Broker for National Securities, Named in Two Customer Disputes Alleging Unsuitable Investment Recommendations
- Losses in MLP or Other Energy Investments, Including With Robert J. Donovan at UBS?
- Hugh Barndollar III, Broker for Crown Capital Securities, Named in Customer Disputes Regarding Alternative Investments
- Bryon Martinsen, Broker for Centaurus Financial, Named in Multiple Customer Complaints Alleging Unsuitable Investment Recommendations
- James Daughtry, Formerly of Kestra Investment Services, Barred by FINRA for Refusing to Appear for Testimony
- Marc Linsky, Broker for ProEquities, Named in Customer Dispute Involving GPB Capital Investments
- Robert Nicholas Korzik, Formerly of Ameriprise, Suspended by FINRA After Allegations of Unauthorized Private Securities Sales
- Martin Noonan, Formerly of BMA Securities, Barred by FINRA for Refusing to Cooperate with Investigation
- Leonard Kinsman, Formerly of Wells Fargo, Barred by FINRA for Refusing to Appear for Testimony
- Robert Perlman, Broker for UBS Financial, Named in Customer Dispute Related to UBS Yield Enhancement Strategy (YES)
- John Davenport, Broker for Liberty Partners Financial Services, Named in Customer Dispute Alleging Negligence and Misrepresentation
- Christopher Ortiz, Broker for National Securities Corporation, Named in $265k Customer Dispute Alleging Unsuitability
- Arthur Hoffman, Formerly of Ameriprise Financial, Barred by FINRA For Failing to Cooperate with Investigation
- Steven Luftschein, Formerly of Aegis Capital, Accused by FINRA of Churning and Unauthorized Trading
- Ambassador Advisors and its Principals Charged by SEC for Breaching Fiduciary Duties
- Robert Gianchiglia, Advisor for USA Financial Securities, Named in $200K Customer Complaint Alleging Misrepresentation
- Todd Avery, Advisor for Rite Financial Group, Under Investigation by Kentucky Department of Financial Institutions
- Frank Avallone, Broker for National Securities, Named in Two Customer Disputes Alleging Unsuitable Investments
- Donald Woods, Formerly of LPL Financial, Suspended by FINRA After Allegations He Falsified Records
- Timothy Kenska, Advisor for Citigroup Global Markets, Named in Customer Dispute Seeking $150K
- David Krumrey, Formerly of Oppenheimer & Co., Named in Customer Dispute Alleging Breach of Fiduciary Duty
- Jeffrey Vanover, Broker for Hilltop Securities, Accused of Making Unsuitable Investment Recommendations
- Timothy Atyeo, Broker for Oppenheimer & Co., Named in Customer Dispute Seeking $1.1M
- James Kennedy, Formerly of Woodbury Financial, Barred by FINRA After Refusing to Provide Information
- Bryan Benson, Formerly of Wells Fargo, Barred by FINRA After Refusing to Provide Information
- Charles Doraine, Formerly of Next Financial Group, Barred by FINRA After Refusing to Provide Testimony
- Donald J. Kellen, Independent Advisor with Laurel Wealth Advisors, Charged by SEC with Conducting “Cherry-Picking” Scheme
- Bradley Reifler, Formerly of Forefront Capital Markets, Named in Complaint Filed by SEC
- Cindy Chiellini, Broker for Centaurus Financial, Inc., Subject of Twelve Pending Customer Disputes
- Michael Reither, Formerly of First Allied Securities, Accused of Dishonest or Unethical Conduct by Missouri Securities Division
- Joseph Roop, Formerly of Kalos Capital, Named in Customer Dispute Seeking $450,000
- Brian Engstrom, Formerly of Stifel, Nicolaus & Co., Suspended by FINRA for Unsuitable Short-Term Trading of UITs
- Albert Harkless III, Formerly of PFS Investments, Barred by FINRA After Allegedly Converting Client Funds
- Jeffrey Hall Heely, Formerly of NMS Capital, Suspended by FINRA Over Alleged Undisclosed Outside Business Activity
- Darren Oglesby, Broker for Money Concepts Capital Corp., Accused of Making Unsuitable Investment Recommendations
- Timothy Jan Vanlohuizen, Broker for Sagepoint Financial, Subject of Customer Disputes Totaling Over $450K
- Phillip Conley, Formerly of Merrill Lynch, Charged by SEC for Allegedly Defrauding Investors
- Gerald Dewes, Formerly of Cadaret, Grant & Co., Barred by FINRA for Refusing to Appear for Testimony
- Jonathan Pyne, Broker for Berthel, Fisher & Co., Accused of Unsuitable Investment Recommendations
- Robert D’Andria, Broker for International Asset Advisory, LLC, Suspended by FINRA for Two Months
- Anthony Sica, Broker for Joseph Gunnar & CO., Facing $750k Customer Dispute
- James Flower, Formerly of SW Financial, Facing Allegations of Churning and Excessive Trading
- Steve Jun Lu, Formerly of JP Morgan, Barred by FINRA Following Allegations He Attempted to Mislead Elderly Woman
- Timothy Hetrick, Formerly of US Brokerage, Barred by FINRA After Refusing to Appear for Testimony
- Alexander James, Formerly of Voya Financial, Suspended for One Year Over Alleged Unapproved Outside Business Activity
- Patrick Coogan, Formerly of LPL Financial, Barred by FINRA Following Allegations He Made “Reckless Misrepresentations” in Agreements
- Ashley Martin, Formerly of Morgan Stanley, Barred by FINRA Following Allegations of Altering Customer Forms
- Halil Kozi, Formerly of Windsor Street Capital, Suspended by FINRA Following Allegations of Excessive Trading
- Frederic O’Hara, Formerly of Sagepoint Financial, Suspended by FINRA Over Allegations He Engaged in Unapproved Outside Business Activities
- John Stuart Crain, Formerly of Summit Brokerage Services, Suspended by FINRA Following Allegations That He Altered Documents
- Herbert Hafen, Formerly of Morgan Stanley, Charged with Misappropriating Client Funds
- Jerry Szilagyi, CEO of Catalyst Capital Advisors, Sanctioned by SEC Regarding Material Misstatements and Omissions
- Matthew Baltz, Formerly of Cambridge Investment Research, Facing Customer Dispute Alleging Variable Annuity Losses
- Bart Bohrer, Formerly of Capital Financial Services, Named in Customer Disputes Totaling Over $1M
- Jacquin Fink, Formerly of Merrill Lynch, Subject of Eight Customer Complaints Regarding Unsuitable Recommendations
- James T. Flynn, Formerly of Voya Financial, Has Received Over 45 Customer Complaints Since 2018
- Raymond Thomas, Formerly of Network 1 Financial Securities, Named in FINRA Complaint Alleging Participation in Unauthorized Outside Business Activities
- Imran Razvi, Formerly of Lincoln Financial, Suspended by FINRA Following Allegations of Unauthorized Business Activities
- Louis Cook, Formerly of National Planning Corp., Barred by FINRA for Making Intentional Misrepresentations to Customers
- Andre Pierre Davis, Formerly of First Standard Financial, Barred by FINRA for Refusing to Produce Information and Documents
- Mark Trewitt, Formerly of VFG Securities, Named in Numerous Customer Disputes Alleging Overconcentration and Unsuitable Recommendations
- Clement Chichester, Formerly of Western International Securities, Named in $100K Settlement for Broker Misconduct
- Daniel Saur, Formerly of Kalos Capital, Named in Customer Disputes Alleging Unsuitable Recommendations
- Travis Lippmann, Formerly of Newbridge Securities, Accused of Unsuitable Investment Recommendations
- Christopher Shaw, Formerly of Kalos Capital, Facing Customer Dispute Concerning Sale of GPB Capital Investments
- E. Kyle Davis, Formerly of Raymond James & Associates, Named in Customer Dispute Seeking $500,000 in Damages
- Terrence Bonk, Formerly of Feltl & Co., Suspended by FINRA Following Allegations He Borrowed Money from a Customer
- Rodney Potratz, Employed by FSC Securities, Named in Customer Dispute Concerning Alternative Investment Recommendations
- Gustavo Trujillo Franco, Formerly of Global Strategic Investments, Named in FINRA Complaint Regarding Alleged Fraudulent Wire Transfers
- Kimberly Springsteen-Abbott, Formerly of Commonwealth Capital Securities, Barred by FINRA for Allegedly Misusing Investor Funds
- Daryl Serizawa, Formerly of Independent Financial Group, Under Investigation for Recommending GPB Capital Private Placements
- Martin Batstone, Formerly of Newbridge Securities, Barred by FINRA Following Allegations of Converting Funds
- Thomas Murphy, Formerly of Merrill Lynch, Suspended by FINRA Following Allegations of Signing Outside Subscription Agreements Without Authorization
- Richard Cody, Formerly of IFS Securities, Receives Final Judgment in Favor of SEC
- Ronald Hannes, Formerly of Woodbury Financial Services, Barred by FINRA for Refusing to Provide Documents and Information
- Jeffrey Nimmow, Formerly of Forest Securities, Inc., Accused of Unauthorized Sales of Woodbridge Promissory Notes
- Jason Hawke, Formerly of National Securities Corporation, Named in Multiple Customer Disputes Since 2010
- Jeffrey Wiseman, Formerly of Morgan Stanley, Named in FINRA Arbitration Filed by Former NBA All-Star Chris Bosh
- Brian Frank, Broker for Ascendant Alternative Strategies, Facing $250,000 Customer Dispute Over Alleged Unsuitability and Misrepresentation
- Michael Sievert, Financial Advisor with Arkadios Capital, Named in Customer Disputes Regarding GPB Capital Holdings
- John Harman, Formerly of Berthel Fisher and Royal Alliance, Suspended by FINRA for Violating FINRA Rule 2010
- Elias Hafen, Formerly of Wells Fargo and Morgan Stanley, Sentenced to 30 Months in Prison for Fraud
- Gus Marwieh, President of Marwieh Advisory Services, Has Registration Revoked by Texas Securities Board
- Daniel Castoriano, Formerly of Century Securities Associates, Suspended by FINRA for Failure to Provide Information
- Mason Gann, Formerly of Berthel Fisher, Suspended by FINRA Over Alleged Unsuitable Investments
- Christopher Barone, Formerly of America Northcoast Securities, Barred by FINRA for Multiple Violations
- Kerry Wills, Registered Representative with First Western Securities, Suspended by FINRA for Borrowing Money from Elderly Customer
- Edward Matthes, Formerly of Mutual of Omaha, Consented to Fraud Charges from the SEC
- Michele Boyer, Formerly of Concorde Investment Services, Named in Allegations of Non-Traded REIT and Energy Sector Losses
- Michael Pellegrino, Formerly of Taylor Capital Management, Named in Allegations of Northstar REIT Losses
- Robert Spiegel, Formerly of First Standard Financial Company, Suspended Over Allegations of Excessive Trading
- Andrew Krakaur, Broker for Axa Advisors, LLC Named in FINRA Arbitration for Corporate Capital Trust and Northstar REIT Losses
- Enrique Lopez, Formerly of LPL Financial, Facing Allegations of Unsuitable, Over-Concentrated Investments
- Michael Leahy, Formerly of Standard Financial Company, Barred by FINRA for Allegedly Failing to Supervise a Former Registered Representative
- Kari Bracy, Formerly of NYLife Securities, Inc., Barred by FINRA for Failure to Appear for Testimony
- Richard George, Broker for Morgan Stanley, Accused of Making Unsuitable Investment Recommendations
- Andrew Grant, Broker for Laidlaw & Co., Suspended by FINRA for Unauthorized Trading
- Paul Petrillo, Formerly of Thrivent Investment Management, Barred by FINRA Following Allegations of Selling Away and Undisclosed Private Securities Transactions
- Albert Foronda, Formerly of Legend Securities, Suspended by FINRA for Unauthorized Transactions
- Dexter Thomas, Formerly of LPL Financial, Subject to Multiple Customer Disputes
- Bradley Mascho, Formerly of Western International Securities, Barred by SEC For Alleged Participation in Ponzi Scheme
- Jason LaBelle, Broker for LPL Financial, Suspended and Fined Over Alleged Participation in Undisclosed Outside Business Activities
- James Willing, Formerly of Morgan Stanley, Suspended by FINRA for 35 Days
- Eric Silvestre, Formerly of JP Morgan, Resigned While Under Internal Investigation
- Stuart Godin, Formerly of RBC Capital Markets, Subject of Multiple Customer Disputes
- John Chrysadakis, Formerly of Northwestern Mutual, Barred by FINRA Following Refusal to Provide Information
- Bradley Renberg, Broker for Ameriprise Financial, Accused of Unsuitable Recommendations
- Shlomo Strugano, Formerly of First Allied Securities, Barred by FINRA Amid Allegations of Forgery
- Kristian Finfrock, Registered Representative for Kalos Capital, Sued for Wrongful Sale of GPB Capital Investments
- Gabriel Hynes, Formerly of Kestra and NYLife, Barred by FINRA After Failing to Comply with Investigation
- John Hoidas, Currently of Uhlmann Price Securities, Accused of Selling GPB Capital Investments
- Clint Keener, Formerly of Capital City Securities, Barred by FINRA Following Allegations of Unsuitable Recommendations
- Jeffrey Dixson, Currently of Madison Avenue Securities, Facing Customer Complaint Concerning GPB Capital Investments
- John Cahill, Formerly of Janney Montgomery Scott, Barred for Failing to Comply with FINRA Investigation
- Roberto Fernandez, Broker for Merrill Lynch, Accused of Unsuitable Investment Recommendations
- Gary Imel, Formerly of Ameriprise Financial, Facing Investigation Over GPB Capital Losses
- Keith Springer, Owner of Springer Financial Advisors, Charged with Fraud by SEC
- Thomas Connerton, CEO of Safety Tech, Accused of Defrauding over 70 Investors
- Mercer Hicks III, Formerly of Capital Investment Group, Accused of Unsuitable Investment Recommendations
- Gordon Harper, Broker for Merrill Lynch, Sued for CYES Losses
- Cecil Ross, Formerly of LPL Financial, Suspended by FINRA for Four Months
- Ezri Shechter, Employed by Spencer-Winston Securities, Suspended by FINRA for Three Months
- Jeannette Adcock, Formerly of David A. Noyes & Company, Named in Customer Dispute Related to Sale of Illiquid Structured Certificates of Deposit
- Jeremy Rosen, Broker for Nationwide Planning Associates, Inc., Accused of Making Unsuitable Recommendations
- Dain Stokes, Formerly of LPL Financial, is Facing Allegations of Converting Client Funds through a Fake African Charity
- Lake Tahoe Lawyer Accused of Fraud and Money Laundering
- Nephew Accused of Depleting Relatives’ Retirement Funds
- Albert Foronda, Formerly of Worden Capital Management, Under FINRA Investigation
- Michael Sievert, Financial Advisor at Arkadios Capital, Accused of Selling Unsuitable Investments in GPB Capital Holdings
- Steven Case, Advisor for LPL Financial, Subject to Customer Complaints Regarding Alternative Investments
- Robert Henderson, Formerly of IFS Securities, Sued by FINRA for Unauthorized Outside Business Activities
- Luke Johnson, Advisor for Coastal Equities, Inc., Accused of Selling Fraudulent GPB Capital Investments
- Gerald Coyne, Formerly of CUSO Financial Services, Barred by FINRA For Failing to Provide Testimony
- Rusty Tweed Appeals Bar by FINRA
- James Booth, Formerly of LPL Financial, Pleads Guilty to Securities Fraud
- James D’Meo, Formerly of Kenneth Jerome & Co., Barred by FINRA for Failing to Provide Information
- John Borsellino, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Unsuitable Recommendations
- David Rosenberg, Former Prime Automotive Group CEO, Seeking Reinstatement
- Kane Waller, Formerly of National Financial Services, Charged by FINRA for Misconduct
- Lester Burroughs, Registered with Lincoln Investment, Pleads Guilty to $575K Ponzi Scheme
- Eugene Gordon, Formerly of Morgan Stanley, Suspended by FINRA for Unauthorized Trades
- Peter Monson, Broker for Van Clemens & Co, Under Investigation for Excessive Trading
- Ashley Woodard, Formerly of Voya Financial Advisors, Named in Multiple Customer Complaints Regarding Illiquid Securities
- Kurt Jackson, Broker for Commonwealth Financial Network, Facing Customer Dispute Seeking $500,000
- Ronald Roach, Formerly of Securities America, Barred by SEC for Alleged Participation in Ponzi Scheme
- Murry Shapero, Broker for Maxim Group, Suspended by FINRA for Unauthorized Trading
- Leon Almeida, Broker for MML Investors Services, Named in Customer Dispute Alleging Misrepresentation
- David Kendrick, Formerly Of NYLife, Suspended by FINRA for 18 Months
- Gerald Eaton, Formerly of Commonwealth Financial Network, Barred by FINRA for Failing to Provide Information
- Robert Genito, Formerly of PFS Investments, Barred by FINRA Following Refusal to Provide Information
- Hannah Peterson Weber, Broker for Merrill Lynch, Named in $1 Million Customer Dispute
- Michael Collins, Formerly of Kingsbury Capital, Suspended by FINRA Following Allegations of Participating in Private Securities Actions
- Fredrick Randhahn, Formerly of Sigma Financial, Suspended by FINRA Following Sale of Woodbridge Group Promissory Notes
- Brian Lockett, Broker for Independent Financial Group, Suspended by FINRA for Hiding a $50K Private Placement
- John Hoagland, Formerly of Morgan Stanley, Suspended by FINRA Following Allegations of Unauthorized Trading
- Justine Zhou, Formerly of The Leaders Group, Barred by FINRA Following Termination
- Philip Sparacino, Formerly of First Standard Financial Company, Barred by FINRA Following Termination
- Timothy Millis, Formerly of NYLife Securities, Suspended Following Allegations of Unsuitable Investments
- Lance Roman Armstrong, Formerly of Raymond James Financial Services, Barred for Failure to Assist in Investigation
- Tariq Sales, Formerly of Newbridge Securities, Facing Allegations of Negligence
- John Santariello, Formerly of Arive Capital Markets, Named in Customer Dispute Alleging Churning
- Richard Pittman, Broker for Cetera Advisors, Named in Dispute Over Suitability
- Marosa Linan Abrego, Formerly of Merrill Lynch, Barred by FINRA for Failure to Appear for Testimony
- Jason LeBlanc, Formerly of Girard Securities, Barred by FINRA Following Allegations that he Failed to Disclose Several Outside Business Activities
- David Jose Lugo, Formerly of UBS Financial Services, Facing Multiple Customer Complaints
- GPB Capital, Alleged Ponzi Scheme, Riddled with Lawsuits from Former Investors
- David Ferwerda, Formerly of Signator Investors, Barred by FINRA for Refusing to Provide Information
- Greg McKinney, Formerly of Cetera Advisors, Barred by FINRA Following Failure to Provide…
- Variable Annuity Life Insurance Company Facing SEC Investigation over High-Cost Retirement Investments
- Christopher Kozak, Formerly of Cetera Advisors, Suspended by FINRA for Failure to Disclose an Outside Business Activity
- Paul Wescoe Smith, Formerly of Bolton Global Capital, Barred by the SEC and FINRA Following…
- Kim Kopacka, Formerly of IMS Securities, Barred by FINRA Following Allegations She Helped Her Husband Produce $6 Million in Commissions
- Trevor Rahn, Formerly of JP Morgan, Facing Allegations of Unauthorized Trading
- Alan Appelbaum, Broker for Aegis Capital, Involved in Multiple Customer Disputes Alleging Unsuitability
- William Foster, Broker for Ameriprise Financial Services, Involved in Customer Dispute Regarding…
- Genevieve Mar, Broker for Berthel, Fisher & Company Financial Services, Named in Multiple Customer Dispute Alleging Unsuitable Investment Recommendations
- Steve Netzel, Formerly of Kalos Capital, Named in Customer Dispute Alleging Unsuitable Investment Recommendations
- Morgan Stanley Fined $382,500 For Failure to Supervise Former Broker Justin Amaral
- Jefferey Dyra, Formerly of Bankers Life Securities, Barred by FINRA Following Refusal to Provide Information
- Erik Pica, Broker for Joseph Stone Capital, Sued by FINRA for Misuse of Client Funds
- Wes Baiz, Formerly of The Huntington Investment Company, Barred by FINRA Following Refusal to Provide Information
- William Hightower, Formerly of UBS Financial, Facing Multiple Customer Disputes
- Stuart Nichols, Formerly of Raymond James, Barred by FINRA Following Churning Allegations
- Brandon Stimpson, Formerly of Allegis Investment Services, Accused of Unsuitable Investment Recommendations in Options
- Dean Kajouras, Broker for Fordam Financial Management, Named in Multiple Customer Complaints
- Alex Blanco, Formerly of Hornor Townsend & Kent, Inc., Facing Allegations of Unsuitable Investments
- Steven Yellen, Formerly of JP Morgan, Consented to One-Year Suspension and $25,000 Fine
- Trevor Rahn, Formerly of J.P. Morgan, Facing Allegations of Excessive Trading
- Jason Mosher, Advisor for Kalos Capital, Allegedly Recommended GPB Capital Private Placements to Investors
- Michael Cohn, Former Chief Compliance Officer of GPB Capital Holdings, Charged by SEC with Obstruction of Justice
- George Marwieh, Former Registered Investment Advisor, Facing License Revocation in Texas
- Anthony Hobson, Advisor for Money Concepts Capital Corp, Faces Allegations Concerning Alternative Investments
- Daniel Arcuri Jr., Formerly of Thrivent Investment Management, Named in FINRA Complaint for Failure to Appear
- Adam Lunceford, Financial Advisor at LPL Financial, Named in Customer Dispute Seeking $250,000
- Frederick Stow, Formerly of Raymond James & Associates, Discharged Following Allegations of Client Fund Misappropriation
- Ami Forte and Charles Lawrence, Formerly of Morgan Stanley, Barred by FINRA for Alleged Churning
- Dennis Mehringer Jr., Formerly of Western International Securities, Barred by FINRA Following Refusal to Provide Information
- Wallachbeth Capital Consents to Censure and $60,000 Fine
- Charles Bridgers, Formerly of Wells Fargo, Suspended and Fined by FINRA for Allegedly Purchasing Bonds without Client Authorization
- Mark Cramer, Formerly of MML Investors Services, Suspended and Fined by FINRA
- Madison Avenue Securities and Crystal Bay Securities Accused of Negligence in Connection with Sale of GPB Capital Stock
- Two Broker-Dealers Going Out of Business Following Major Losses
- Jamie Westenbarger, Formerly of Securities America, Barred by FINRA for Borrowing Funds from Clients
- Erlloisse Magan, Formerly of TD Ameritrade, Suspended by FINRA and Fined $10,000
- Cetera Advisors, LLC Charged with Breach of Fiduciary Duty and Defrauding Clients
- Yvonne Silguero, Financial Advisor for LPL Financial, Involved in $500,000 Customer Dispute
- Rob Burns, Registered Representative with Cetera Advisors Networks, Involved in $500,000 Customer Dispute
- Maureen Scalzo, Formerly of Benjamin F. Edwards & Company, Barred by FINRA Following Failure to Testify
- Steve Klinger, Formerly of Wells Fargo, Barred by FINRA Following Failure to Testify
- Michael D’Aquila, Formerly of Merrill Lynch, Barred by FINRA for Alleged Conduct Inconsistent with Firm Standards
- Craig Siegel, Formerly of Portfolio Advisors Alliance, LLC, Suspended by FINRA for Failing to Respond to Request for Information
- William Davis, Formerly of Ameriprise Financial Services, Inc., Suspended by FINRA for Restricted List Sales
- Michael Olinde, Formerly of LPL Financial, Suspended by FINRA for Allegedly Engaging in Outside Business Activity
- Investors of Hospitality Investors Trust, Inc., Expected to Experience Significant Losses
- David Volpe, Formerly of First Financial Equity Corporation and LPL Financial, Barred by FINRA for Alleged Unauthorized Securities Sales
- Rusty Tweed, Registered Representative of Cabot Lodge Securities, LLC, Named in Multiple Customer Disputes
- Benjamin Lowder Jr., Formerly of MSI Financial Services, Inc., Barred by FINRA after Refusing to Appear for Testimony
- Bruce Jordan, Director of Investment Banking for Newbridge Securities, Fined by FINRA for Alleged Sales Practice Violations
- Cristina Sabengsy, Formerly of NYLife Securities, LLC, Barred by FINRA for Alleged Forgery of Client Signatures
- James Lamont of Whitehall-Parker Securities, Inc. Suspended by FINRA for Alleged Unapproved Private Securities Transactions
- Michael Sims, Formerly of Wedbush Securities, Inc., Subject of Multiple Customer Complaints
- Rafael Golan, Formerly of Crystal Bay Securities, Inc., Barred for Failure to Respond
- Steven Reznik, Formerly of Raymond James Financial Services, Inc., Subject to 18 Customer Disputes in Past Two Years
- Christopher Edward McClure, President and CEO of Westport Capital Markets, LLC, Sued by SEC for Fraud
- Money Concepts Capital Corporation Sued for Wrongful Sale of GPB Capital Investments
- Andres Fernandez and Edison Denizard Sued by SEC for Offering Unregistered Fraudulent Securities
- Jeffrey Vasiloff, Formerly of LPL Financial, Suspended by FINRA for Alleged Unauthorized Trading
- Michael Hull, Christopher Nohl, and Associated Entities Sued by SEC for Fraud
- Keith Wakefield, Formerly of IFS Securities, Barred by FINRA Following Refusal to Testify
- Joseph Pratt, Formerly of Wells Fargo, Barred by FINRA for Insider Trading
- David Manor, Formerly of Wells Fargo, Suspended by FINRA for Multiple Rule Violations
- Paul Mauro, Advisor for Sagepoint Financial, Receives Numerous Customer Complaints
- SEC Bars Strong Investment Management and its Owner, Joseph Bronson, for Fraudulent “Cherry-Picking” Scheme
- Lawyers Expect Increase in Complaints Against GPB Capital Holdings, Majority Owner of Prime Automotive Group
- 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
- Kalos Capital Fined and Censured by FINRA for Failure to Adequately Supervise Registered Representatives
- Edward James Lyons, Formerly of Raymond James & Associates, Inc., Accused of Unauthorized Trading and Recommending Unsuitable MLPs
- Halil Kozi, Formerly of Windsor Street Capital, Faces FINRA Complaint for Alleged Churning and Excessive Trading
- Kalos Capital Sued Over Allegations that Broker Hunter McFarlin Sold Private Placements in GPB Capital
- Kerry Hoffman, Formerly of LPL Financial, Sued by SEC for Selling $3.3 Million in Unregistered Securities
- Clayton Wertz, Formerly of First Canterbury Securities, Barred from FINRA for Creating False Account Statements
- Glenn Mueller, of Northridge Holdings, Charged by SEC for Orchestrating Ponzi Scheme
- Apostolos Pitsironis, Formerly of Janney Montgomery Scott, Barred by FINRA for Allegedly Converting Client Funds
- Michael Barry Carter, Former Morgan Stanley Broker, Barred from FINRA for Misappropriation
- Bernie Adair, of Merrill Lynch, Involved in Pending Dispute of $550,000 for Alleged Misrepresentation
- Timothy Johnson, Former MML Investors Services Broker, Discharged Following Allegations He Diverted Customer Funds
- Eric Savell, Former LPL Financial Broker, Suspended Five Months for Unauthorized Private Securities Transaction
- Robert S. Smith of Peregrine Private Capital / Concorde Investment Services Involved in $1.1 Million Complaint Regarding Investments in GPB Capital
- Broker Michael Fasciglione is Accused of Offering Unsuitable GPB Capital Holdings Investments
- Jesse Gil, Formerly of Allstate Financial, Named Respondent in FINRA Complaint
- Thomas Johnson, Formerly of RBC Capital, Named in $1M FINRA Complaint
- Elias “Herbert” Hafen, Former Morgan Stanley Broker, Barred for Defrauding Clients
- Frederick Baerenz and David Sweat, Former Kalos Capital Brokers, Involved in Arbitration Over Recommendation of GPB Capital Securities Funds
- Darren Kubiak, Kalos Capital Advisor, Has $1M in Pending Complaints
- Bobby Coburn, Former Securities America Broker, Barred from FINRA for Failure to Appear
- Gurpreet Chandhoke and Stephen Shea, Formerly of Arete Wealth Management, Respondents in Multi-Million FINRA Complaint
- Daniel Maughan, Former Financial West Broker, Hit with Finra Complaint Alleging Churning
- Daniel Maughan, Formerly of Financial West Group, Barred by FINRA Following Churning Allegations
- Ricky Mantei, Former J.P. Turner Broker, Subject of Finra Complaint Alleging Violations of Firm’s Supervisory Policy
- Scott Andersen, Broker with Wedbush Securities, Involved in Lawsuit Alleging Conversion and Fraud
- Broker Mark Jones, of Merrill Lynch, Pierce, Fenner & Smith, Involved in Pending Misrepresentation Dispute
- Steven Reznik, Former Raymond James Broker, Hit with 6 Customer Disputes Since January
- Alpine Securities Corporation Faces FINRA Complaint Over Unauthorized Trading and Misuse of Customer Assets
- Marcus Boggs Formerly of Merrill Lynch Charged With Fraud for Stealing More Than $1.7 Million From Clients
- Erik Pica, Joseph Stone Capital Broker, Under FINRA Investigation for Misappropriation and Allegedly Providing False Testimony
- Peter Huffman, Merrill Lynch Broker, Hit with $2.7 Million Customer Dispute Alleging Churning
- Nancy Glassman, Morgan Stanley Broker, Hit with Customer Dispute Alleging Unsuitability
- FSC Securities Brokers Frank Briseno and Craig Accardo in FINRA Arbitration for Alleged Unsuitable Investment Recommendations
- Gregory Dean, Former Worden Capital Broker, Barred for Excessive and Reckless Trading in Customer Accounts to Inflate Commission
- Ken Kavanaugh, Former Morgan Stanley Broker, Suspended for 18 Months For Unauthorized Outside Business Activities
- James Crosson, LFS Services Broker, Subject of Several Customer Disputes Alleging Misrepresentation
- Robert Henderson of IFS Securities Under FINRA Investigation for Outside Business Activities
- Brokerage Firm Royal Alliance Associates Hit with $1 Million Arbitration Complaint Over Investment with GPB Capital Holdings
- Andre Davis, Former First Standard Financial Broker, Has 14 Customer Disputes, 6 Still Pending
- John Wyshak, Former Raymond James Broker, Has Three Customer Complaints Including One Settled for $700k
- Former Nylife Securities Broker George Shadie Terminated for Concerns Over Quality of Business Practices
- Joshua Stivers, Kalos Capital Broker, Hit with Arbitration Claim Over Recommendation to Invest in Unsuitable GPB Capital Funds
- Oscar Francis, Former MML Services Broker, Barred from FINRA for Wire Fraud and Misappropriation
- Jose Cornide, of UBS Financial, Has Pending Complaints Over $10 Million
- Sonia Attkiss of UBS Financial Services Faces Investor Complaints Related to UBS Yield Enhancement Strategy Losses
- Gerard Joseph Costello of UBS Financial Services Recently Faced an Investor Complaint Over UBS YES Strategy Losses
- Scott Rosenburg of UBS Financial Services is Facing Six Complaints Over Losses Suffered With the UBS YES Strategy
- Matthew Buchsbaum of UBS Financial Services Faces 11 Investor Complaints Over UBS YES Strategy Losses
- Michael Dawson of UBS Financial Has $2 Million-Plus Customer Complaint
- Robert Montes, Former Wells Fargo Advisor, Barred from FINRA for Failure to Provide Information
- Jeffrey Blutstein, Former Kestra Investment Services Broker, Barred for Refusing to Provide Information During Finra Investigation
- Thomas Marino, Formerly of R.M. Stark & Co., Barred by FINRA for Refusal to Provide Information
- Debra Bourne, of First Standard Financial, Subject of Four 2019 Customer Disputes
- Pedro Gonzalez-Seijo, Former Transamerica Financial Advisors Broker, Convicted of Bank and Securities Fraud
- Jerry McCutchen, Former Berthel, Fisher & Company Broker, and Other Executives Ordered to Pay $1.16
- Michael Packman, Former Axiom Capital Management Broker, Alleged to Have Sold Unsuitable Securities from GPB Capital
- Sylvester Knox, Formerly of FSC Securities, Denied Registration in Multiple States
- Charles Kenahan, Former Merrill Lynch Broker, Hit with $42 Million Customer Dispute Alleging Churning
- Daniel Soliman, Formerly of JP Morgan, Barred From FINRA for Failing to Participate in Investigation
- Roman Corona, Former Morgan Stanley Broker, Barred from FINRA for Undisclosed Accounts
- Roman Corona, Former Morgan Stanley Broker, Barred for Refusing to Appear for Testimony During Finra Investigation
- Brenda Smith, Formerly of CV Brokerage, Barred After Failing to Provide Requested Documents
- Mark Lamkin, Former LPL Financial Broker Allegedly Received Undue Compensation
- Derrick Trussell, Former PFS Investments Broker, Barred from FINRA for Failure to Provide Information
- Christopher Jorgensen, Former Summit Brokerage Broker, Barred From FINRA for Refusing to Provide Information
- James Bylenga, Former LPL Financial Broker, Barred From FINRA for Receiving Client Loans
- Broker Manish Shah, Formerly of Northwestern Mutual, Barred from FINRA for Fraud
- Capital Financial Services Broker William Byrd: Customer Disputes Allege Unsuitable Recommendations
- Investigation of Former Wisconsin Broker Timothy Norris
- Did Kevin Canterbury Reccomend GPB Capital Investments?
- Former IFG rep Jeffrey Schwebach Ordered to Disgorge Over $19K
- Vincent Storms, Former Raymond James Broker, Barred for Falsifying Internal Audit Documents
- Dennis Gibb, Former Founder and Owner of Sweetwater Investments, Sentenced to 5 Years in Prison for Stealing Over $3 Million of Client’s Investments
- James Booth, Former LPL Advisor, Barred From FINRA For Misappropriation
- Michael Seigel, former National Securities Corporation Broker, Faces 3 Years in Prison for Defrauding Elderly Couple
- Michael Alan Siegel, Former National Securities Broker, Barred From FINRA For Theft
- William Gennity, Formerly of First Standard Financial, Barred From FINRA for Violation of Federal Securities Laws
- Investigation: Mark Plummer, former Texas E & P Partners Broker, Ordered to Pay $500k for Improperly Spending Investor Funds
- James Booth, former LPL Financial Broker, Charged by SEC with Operating Ponzi Scheme
- Summit Brokerage Services Fined, Ordered to Pay Restitution for Broker ‘Churning’
- Fred Brown, Formerly of Merrill Lynch, Suspended by FINRA for Accepting Client Loans and Nondisclosure
- Shawna Choate, Former Spencer Edwards Broker, Investigated by Finra for Falsifying Documents
- Curtis Ile, Former Sigma Financial Advisor, Suspended by FINRA for Alleged Unauthorized Trading
- Rand Heckler, Formerly of Benjamin & Jerold Brokerage, Barred from FINRA for Unsuitability and Misrepresentation
- $1 Million Dispute Filed Against Aegis Capital Broker
- Patrick Neal Foley — Former Merrill Lynch Broker — Barred from FINRA
- Leonard Kinsman of Wells Fargo Faces Over $1M in Damages Claimed by Former Clients
- Investigation of Merrill Lynch Financial Advisors Who Mishandled the Investments of UPS Employees
- Mark Trewitt – Former VFG Securities Advisor – Suspended by FINRA
- Former Ameritas Broker James F. Anderson Barred From FINRA
- William Hobby, Former UBS Financial Broker, Hit with 4 Customer Complaints In Last Year
- Jovannie (John) Aquino formerly of Spartan Capital Barred by FINRA for Fraud and Unauthorized Trading
- James F. Anderson Formerly of Ameritas Investment Barred for Selling Away
- Peter Goffin of Newbridge Securities Faces Customer Complaint for Breach of Fiduciary Duty
- Richard Gornto of First Financial Securities Faces Customer Claim Over Life Insurance Policy Dispute
- Gregory Young, Former Voya Financial Advisors Broker, May Face Finra Arbitration for Misrepresenting Variable CDs to Clients
- Nina Jessee Formerly of Cetera Advisors and Investors Capital Corp.
- Kimberly Kitts Formerly of Royal Alliance Associates Barred By the SEC for Misappropriating Client Funds
- Christopher Bice of Sagepoint Financial: Four Customer Complaints for Unsuitable Investment Recommendations
- Ron Willoughby Formerly of Morgan Stanley Suspended By FINRA for Unsuitable Investments
- Finra: William Kielczewski Charged for Participation in Unauthorized Private Securities…
- Investigation of Former Texas Broker William Poynter
- Nicolas Barrios Formerly of UBS Financial Services Barred for Failure to Cooperate With FINRA
- Eric Weschke of Kalos Capital Faces Complaints for Unsuitable Investment Recommendations in GPB Capital
- Raymond James Financial Advisor Disclosures Include Four Customer Disputes
- Investigation of Former Illinois Broker Adam M. Lopez
- Former New York Broker Michael Bastardi Barred by FINRA
- Investment Losses with Financial Advisor Gary Meier
- Jason Nelson of LPL Financial Barred from FINRA
- Former Morgan Stanley Broker David Strnad Suspended for Making Unauthorized CD Trades
- HD Vest Investment Services Financial Advisor Frank Kelly Suspended by FINRA
- Investigation of Former California Broker Benjamin Weldon
- Investigation of Former New York Broker Herbert H. Hafen
- Investigation of New York Broker Matthew Crafa
- Investigation of Former New York Broker Dudley Stephens
- Investigation of UBS Financial Advisors Who Sold Structured Notes
- Investigation of Former California Broker Edward Conrekas
- Morgan Stanley Ordered to Pay $500k in Arbitration Ruling
- Investigation of Former Massachusetts Broker Jordan Kane
- Investigation of Former Florida Broker David H. Fagenson
- Investigation of California Broker Joseph Martinez
- Investigation of Former Louisiana Broker Benjamin Bourgeois Jr.
- Investigation of Former Florida Broker Christopher Hellman
- Investigation of Former Texas Broker Patsy Vrazel
- Investigation of Former Oregon Broker Gregory Bang
- Investigation of Former Florida Broker Scott Donato
- Investigation of Former Broker Texas Andy Anderson
- Investigation of Former Illinois Broker Anthony Johnson
- Investigation of Former Indiana Broker Joel Flaningan
- Investigation of Former Florida Broker Mark Tudor
- Investigation of Former New York Broker Christopher Marnelego
- Four Unlicensed “Advisers” Barred for Selling Woodbridge Securities
- Investigation of Former Massachusetts Broker Bruce Worthington
- Investigation of Former New Jersey Broker Gabriel Block
- Investigation of Former New York Broker Tywan Bishop
- Investigation of Brokerage Firm Winfield Capital Partners, LP
- Investigation of Former Florida Broker Patricia Duchan
- Investigation of Former Wisconsin Broker Valerie Ness
- SEC Fines North Carolina RIA Stephen Brandon Anderson More Than $500,000 for Overcharging Investors
- Category: Class Actions
- Category: COVID-19
- Category: Firm News
- Category: Información en Español
- Category: Investment Loss Investigations
- What is an Investment Fraud Lawyer?
- Ryan Riley, Virginia-Based Investment Advisor, Charged by SEC with Defrauding Customers
- Kevin and Sean Kane, Father-Son Advisory Team, Charged by SEC for Fraud
- SVB Financial Group Investors File Class Action Lawsuit
- Losses in SVB Financial Group? Sonn Law Group Invites Investors to Contact the Firm to Discuss Options
- Long Island Financial Group Fined by FINRA for Violating Regulation Best Interest
- FINRA Fines Los Angeles-Based Wedbush Securities for Inadequate Oversight Systems
- Cardone Capital Investors May Have Claims for Damages
- UCB Financial Advisors Fined $5.7M by SEC Over Cherry-Picking Charges
- Morgan Stanley Hit with $11.5M Arbitration Settlement Over Options Strategy Gone Sideways
- Sonn Law Group Investigating BlockFi for Freezing Withdrawals
- Sonn Law Group PA Investigating Claims for FTX Customers
- SEC Charges the Estate of Stephen Romney Swensen and Crew Capital Group, LLC, with Operating Fraudulent Investment Offering
- Did You Face a Massive Tax Bill Due to Vanguard Target Date Retirement Fund Sell-Off? Recover Your Losses.
- SEC Charges James Arthur McDonald, Jr. and His SEC-Registered Investment Adviser Firm, Hercules Investments, LLC with Offering Fraudulent Securities
- SEC Charges California-based Real Estate Investment Firm, Secured Income Group, With $100M Offering Fraud
- Marc Frankel Charged by SEC with Stealing from Clients
- Ramas Capital Management, LLC and Owner Ganesh Betanabhatla Charged by SEC with Fraud
- Gregory Lindberg and Christopher Herwig Charged by SEC with Defrauding Clients Out of More Than $75 Million
- Pavel Ruiz Charged by SEC with Engaging in a Fraudulent Securities Offering and Ponzi Scheme
- Losses in GWG Holdings L Bonds? Investors Have Claims for Damages
- Anthony Mastroianni Charged by SEC with Scamming Investors Out of Over $1M
- SEC Charges Western International Securities and Several Registered Representatives with Violating Regulation Best Interest Standards
- SEC Names Terry Nikopoulos and Other Defendants in Action Alleging Operation of $3 Million Ponzi Scheme
- SEC Names Multiple Defendants in Action Alleging $450 Million Ponzi Scheme
- SEC Announces Fraud Charges Against Former Investment Adviser and Public Company CEO Martin A. Sumichrast
- SEC Announces Fraud Charges Against Cornerstone Acquisition & Management Company and Its Principals
- SEC Announces Fraud Charges Against Detroit-Based EIA All Weather Alpha Fund I Partners LLC
- SEC Obtains Asset Freeze Against StraightPath Venture Partners and StraightPath Management
- GWG Holdings, Inc. Shares Delisted from Nasdaq Stock Market
- Wells Fargo Ordered to Pay Former Credit Suisse Broker Nearly $1M Following Deferred Compensation Suit
- GK Investment Holdings, LLC (“GKIH”) 7% Bonds Will Default if Maturity Date is Not Extended
- SEC: Synergy Settlement Services Defrauded Personal Injury Victims with Disabilities via Sham Non-profit
- Emerson Equity and Newbridge Securities Face Customer Complaints Over GWG L Bonds
- High-Yield Bond Funds Losses: Options for Investors
- SEC Charges California Resident and His Investment Firm for Undisclosed Conflicts of Interest
- SEC Obtains Default Judgment Against Former Broker Scott Fries Following Allegations of Defrauding Retail Investors
- SEC Charges Former New Jersey Broker with Misappropriation of Client Funds
- FINRA Orders Colorado-based Geneos Wealth Management to Pay $400k
- Kentucky Teachers’ Retirement Fund Loses $3M After Selling Investment in Russian Bank
- Las Vegas Attorney Matthew Beasley Accused of Running $300M Ponzi Scheme; Shot by FBI Agents Amid Confrontation During Questioning
- Registered Investment Adviser Cambridge Investment Research Advisors Charged by SEC with Failing to Disclose Conflicts
- Former Broker Joseph DeGregorio Charged by SEC with Stealing from Elderly Investors
- Investment Adviser Bell Rock Capital and its Principal, M. Cassandra Toroian Charged by SEC with Conducting Fraudulent Cherry-Picking Scheme
- Investment Adviser Arthur S. Hoffman Charged by SEC with Failure to Disclose Financial Conflicts of Interest
- Safeguard Metals and Owner Jeffrey Santulan Charged by SEC With Engaging in Multi-Million Dollar Fraudulent Scheme
- Silence is not golden for GWG bondholders (InvestmentNews.com)
- SEC Secures Summary Judgment Against California-based Investment Adviser Mark Boucher and Strategic Wealth Advisor Group Services
- Lawmakers Elizabeth Warren and Katie Porter Request More Information After Georgia Court Vacates Arbitration Award
- Brokerage Firm Review: SagePoint Financial
- Triad Advisors Fined $705K by FINRA for Failure to Supervise Which Resulted in Sales of Now-Defunct Risky Alternative Investments
- SEC Files Emergency Action to Shut Down Texas-Based Ponzi Scheme Operated by Marco “Sully” Perez
- SEC Charges Fusion Hotel Management, LLC and Founder Denny T. Bhakta with Operating Ponzi Scheme
- Wells Fargo Hit with $3M Fine Over Unit Investment Trusts
- SEC Charges Former Illinois Investment Professional Ronald T. Molo with Fraud
- SEC Alleges That The Heartland Group Ventures, LLC is a $122M Ponzi-like Scheme
- Business Development Corporation of America (BDCA) Investment Losses
- SEC Charges Lina Maria Garcia of Miami-based UCB Financial Advisers with Running Cherry Picking Scheme
- SEC Charges Joshua Burrell (Activated Capital, LLC) with $6.3M Securities Fraud
- Arcadian New Venture LP Investment Losses
- SEC Charges New Jersey Claims Aggregator and Its Principals with Fraud
- Michigan Financial Advisor Steven Muntin Charged by SEC with Fraud
- SEC Charges John J. Woods (Horizon Private Equity, III, LLC) of Running Decade-Long, $110M Ponzi Scheme
- Northstar Financial Services (Bermuda), Ltd: Investment Loss Recovery
- SEC Charges Swapnil Rege and His Company SwapStar Capital with Stealing Funds From Clients
- Epitome Investment Fund Investment Losses
- SEC Accuses AlphaPlus Portfolio Recovery Corp. Principals of Stealing $40M from Settlement Funds for Harmed Investors
- SEC Accuses BNZ One Capital Principals of Operating $13.5 Million Ponzi-Like Scheme
- SEC Obtains Final Judgment Against Investment Professional Marcus Boggs
- SEC Charges Swapnil Rege and His Company SwapStar Capital with Stealing Funds From Clients
- Hillstone Capital LLC Investment Losses
- SEC Accuses Sky Group USA and CEO Efrain Betancourt, Jr. of Operating $66M Promissory Note Scam
- Department of Justice Charges Chicago Trader Keith Wakefield with Securities Fraud
- SEC Charges TCFG Investment Advisors, Affiliated Broker-Dealer and Its President Alleging Materially False and Misleading Statements
- SEC Accuses Ron K. Harrison of Global Trading Institute, LLC of Ongoing Investment Advisory Fraud
- SEC Charges Back to Green Mining, LLC, and Managing Members with Fraud
- Missouri-Based Investment Adviser Buttonwood Financial Group Accused of Investing Clients in Higher Cost Mutual Funds to Avoid Transaction Fees
- Conservation Easement Investment Losses
- Biscayne Capital Owners Indicted, Accused of Operating $155 Million Investment Fraud
- Investors in Million Dollar Ponzi Scheme Collaborate for Maximum Recovery
- ElectroCore, Inc. Investment Losses
- SEC Charges Mississippi Company and Its Principal with Operating a Ponzi Scheme
- SEC Charges Minnesota Couple with Operating $18 Million Ponzi Scheme
- Former Morgan Stanley Broker Sues Firm Over Deferred Compensation Denial
- SEC Charges Robert J. Mueller of deeproot funds LLC with Operating $58M Ponzi Scheme
- SEC Obtains Court Order Against New York Investment Adviser Martin Ruiz
- Las Vegas-Based Profit Connection Wealth Services, Inc., Charged by SEC with Fraud
- Activision Blizzard, Inc., Facing Allegations of Permitting a Workplace Culture of Sexual Harassment
- Sigma Financial Corporation: Information for Investors
- MJ Capital Ponzi Scheme
- Monarch Capital Investment Fund, LLC Ordered to Cease and Desist by Missouri Securities Division
- Mine Shaft Brewing and its Principals Charged by SEC with Fraud
- SEC Charges Florida-Based Company, The Republic Group, with Defrauding Investors
- Sonn Law Group Investigating Stallion Real Estate Funds
- Medley Management Investment Losses
- Oatly Group AB Investment Losses
- NEXT Financial Consents to $750K FINRA Penalty for Sales Violations
- Commonwealth Financial Network Complaints: Information for Investors
- Securities America Advisors Ordered to Pay $1.75 Civil Penalty for Failing to Protect Clients from Ponzi Scheme
- Wells Fargo Advisors Complaints: Information for Investors
- AXA Advisors Complaints: Information for Investors
- TD Ameritrade Complaints: Information for Investors
- Park Avenue Securities Complaints: Information for Investors
- Sonn Law Says that the Banks Who Advised the Puerto Rico Government to Issue Bonds should pay the Nearly $1 Billion in Legal Fees Charged By Attorneys and Professionals to Restructure Puerto Rico’s Debt
- Benefit Street Partners REIT Investment Losses
- Prestige Equity Ordered to Cease and Desist Operations; Accused of Being a Fraudulent Investment Scheme
- Did You Suffer Losses Investing with Gregory Paris of Barrington Asset Management, Inc.?
- Investigation: MR (Mark Ray) Cattle, Accused Ponzi Scheme
- Brokerage Firm Review: HD Vest Financial Services
- Robinhood Fined $70 Million; Sonn Law Investigating Claims That Robinhood Wrongfully Approved Option Accounts
- Did You Suffer Significant Losses Investing in Peachtree Hotel Value & Income Fund II and Related Funds?
- Recovering Investment Losses in Special Purpose Acquisition Companies (SPACs)
- Did You Suffer Significant Losses Investing in the Hospitality Investors Trust (HIT) REIT?
- Emergent Capital, Inc. Investment Losses
- Premium Healthcare Solution, LLC Charged by SEC with Fraudulently Raising Nearly $4M from Investors
- SEC Charges BitConnect Promoters with Selling Unregistered Securities
- Legend Securities Complaints: Information for Investors
- Presidential Brokerage Complaints: Information for Investors
- Newbridge Securities Complaints: Information for Investors
- ProEquities Complaints: Information for Investors
- Invest Financial Corporation Complaints: Information for Investors
- Purshe Kaplan Sterling Investments Complaints: Information for Investors
- FF Fund Management, LLC Investment Losses
- Washington Prime Group, Inc. Investment Losses
- Infinity Q Capital Management, LLC Investment Losses
- GPB Capital Holdings Investment Losses with Geneos Wealth Management
- GPB Capital Lawsuit News & Updates — Recover Your Investment Losses
- Archegos Capital Management Margin Losses
- Zona Energy, Inc. Investment Losses
- ERF Wireless, Inc. Investment Losses
- Richman Energy, Inc., Investment Losses
- Mewbourne Energy Partners 17-A Investment Losses
- Credit Suisse Expects Fund Defaults; Investors Threaten Litigation
- GPB Capital Holdings Fraud Trial Put on Hold
- Triad Advisors Named in Customer Complaints Alleging Sales of GPB Capital
- Claimant Awarded Damages in FINRA Arbitration for Losses Sustained Investing in GPB Capital
- Aegis Capital Corp Complaints
- SEC Seeks Appointment of Independent Monitor for GPB Capital Holdings
- NorthStar Healthcare Income REIT Investment Losses
- Ameriprise Financial Complaints & Misconduct
- SEC Says GPB Capital Holdings Ponzi Scheme Defrauded 17,000 Investors
- Western International Securities Complaints: Information for Investors
- FINRA Hits LPL Financial with $6.5 Million Fine Over Supervisory and Compliance Failures
- Franklin Square BDC Investments: Have You Suffered Losses?
- GeoStellar, Inc. Files for Bankruptcy – Were You Sold Investments?
- Hartman Short Term Income Properties XX REIT: Can I Recover Losses?
- Stira Alcentra Global Credit Fund: Can I Recover Losses?
- FS Investment Corporation II (FSIC II): Can I Recover Investment Losses?
- RealSource Equity Services LLC: Can I Recover Investment Losses
- Investment Losses in Strategic Student & Senior Housing Trust, Inc.? You May Be Able to Recover
- NorthStar Healthcare Income REIT Chairman Justin Chang Resigns
- Watermark Lodging Trust REIT: Can I Recover Investment Losses?
- Were You Advised to Invest in RealSource Equity Services LLC? You May Have Options for Loss Recovery
- Investment Losses in Strategic Student & Senior Housing Trust, Inc.? You May Be Able to Recover
- Recover “YES” Investment Losses with Brokers of The Washingtonian Group
- Nassau River Partners, LLC Investor Losses on Conservation Easements
- Sailfish Cove Group, LLC Investor Losses on Conservation Easements
- Quorum Holdings Partners, LLC Investor Losses on Conservation Easements
- Orange Wood Partners, LLC Investor Losses on Conservation Easements
- Orange Stone Group, LLC Investor Losses on Conservation Easements
- Wells Fargo Pays $79M to Settle Class Action Over Forfeiture of Deferred Compensation Brought by Ex-Financial Advisors
- Oasis Petroleum Investment Losses? Learn Your Options for Recovery
- Wunderlich Securities Complaints
- Rollover Rule Proposed by DOL Could Put Retirement Savers at Risk
- Sonn Law Group Investigating Fund Evaluation Group LLC; Did you lose money in Malachite Capital?
- Did YieldStreet Admit to Conducting Poor Due Diligence?
- ARC NYC REIT Investment Losses
- Heartland Production and Recovery LLC Ordered to Cease and Desist by MI Regulator
- Kovack Securities Complaints: Information for Investors
- Yieldstreet Being Investigated by SEC and FBI
- 3D Money LLC Facing Complaint by Washington State Alleging Sale of Unregistered Securities
- Par Funding – Investor Loss Recovery Center
- GPB Capital Holdings Reports Sharp Decline in Assets Under Management
- First Western Capital Management, Denver-based Investment Advisory Firm, Fined $200K by SEC
- GPB Capital and Affiliated Companies Received Between $3M and $7M in PPP Loans
- GPB Capital Named in Class Action Filed in Texas Federal Court
- Chesapeake Energy Investment Losses
- Malachite Capital Partners LP Investment Losses
- Kestra Investment Services Review: Information for Investors
- Metlife Securities: Information for Investors
- UBS ETRACS ETN Value Drops to Near Zero
- NexPoint Capital BDC Investment Losses
- Massachusetts Authorities Charge GPB Capital in Civil Complaint Alleging Fraud
- Benefit Street Partners REIT Investment Losses
- Ultra Petroleum Corp. (UPLC) Investments
- Have You Suffered Losses in UBS Yield Enhancement Strategy (YES)?
- The Parking REIT Investment Losses
- Amended Federal Complaint Against GPB Capital Alleges Exorbitant Fees and Conflicts of Interest Made Sales Illegal
- TCA Fund Management Group, Florida-Based Investment Company, Charged by SEC Over Alleged Inflated Portfolio Value
- Losses on Investments Sold by David Lerner Associates
- United States Oil Fund (USO) Investment Losses
- High Risks Associated with Collateralized Loan Obligations Heightened by COVID-19 Pandemic
- Were You Recommended Frontier Communications bonds by FMSbonds?
- Plymouth Industrial REIT (PLYM) Investment Losses
- Colony Credit Real Estate, Inc., Investment Losses
- Investment Losses on Autocallable Securities, Callable Yield, and Other Structured Notes
- UBS ETRACS ETNs Investment Losses
- Schroder ISF Global Energy Investment Losses
- BlackRock GF World Energy Fund Investment Losses
- Goldman Sachs North America Energy & Energy Infrastructure Portfolio Investment Losses
- MFS Meridian Funds – Global Energy Fund Investment Losses
- MFM Junior Oils Trust Fund Investment Losses
- Texas Securities Commissioner Orders Merchant Growth & Income Funding, LLC to Cease and Desist
- Canoe Energy Class Investment Losses
- Profunds Oil Equipment Distribution & Services UltraSector Profund Investment Losses
- Ninepoint Energy Fund Investment Losses
- Rydex Energy Fund Investment Losses
- Fidelity Select Energy Service Portfolio Investment Losses
- Investor Losses from Oil, Gas & Energy Stocks, MLPs and Funds Possibly Caused by Unsuitable Recommendations
- NCM Energy Plus Class Investment Losses
- SEC Obtains Asset Freeze Against Meta 1 Coin Trust Based on Alleged Securities Fraud
- Colorado Division of Securities Orders CapSource, Inc. to Cease and Desist
- Ivy Energy Fund Investment Losses
- Triad Advisors Subject to Multiple Disputes Regarding Sales of GPB Funds
- SEC Obtains Asset Freeze Against Kinetic Investment Group, LLC, Based on Alleged Sales of Fraudulent, Unregistered Securities
- Recovering Losses from the Recent Stock Market Crash
- SEC Obtains Injunction Against Kenneth Courtright, III, and His Company, Today’s Growth Consultant Inc.
- SEC Orders Wells Fargo to Pay $35M Over Bad ETF Advice
- EquiAlt LLC Investors File Class Action Lawsuit Over Alleged $170M Ponzi Scheme
- Former Credit Suisse Representatives Awarded $2.1M in Deferred Compensation Dispute
- GPB Capital Holdings Sued by Volkswagen Based on Allegations that GPB Violated an Agreement Between the Parties
- EquiAlt, LLC – Tampa Real Estate Firm – Charged by SEC with Defrauding Investors in Alleged $170M Ponzi Scheme
- Investigation: Burnham Securities Inc.
- Worried About Your Investments in Carter Validus Mission Critical REIT II?
- Worried About Your Investments in Griffin Capital Essential Asset REIT?
- GPB Capital Announces Some Investors Will Not Receive Important Tax Documents by Tax Day
- Kenneth Courtright, Owner of Today’s Growth Consultant, Inc., Indicted Over Ponzi Scheme Allegations
- SEC Launches “Sweep” Examination to Inquire into Sales Practices Applicable to Retirement Plans for Teachers, Broker-Dealers, and Third-Party Administrators
- Federal Lawsuit Filed Against GPB Capital Holdings, Ascendant Capital, and the Brokerage Firms
- Axa Advisors, LLC Named in FINRA Arbitration for Unsuitable REIT Losses
- NorthStar Healthcare Income REIT Investors Suffer Devastating Losses After Income Distributions are Suspended
- Merrill Lynch Ordered to Pay Former MLB Outfielder $2 Million by FINRA
- Royal Alliance Associates Agreed to Pay $400,000 for Brokers’ Misconduct
- SEC Likely to Charge GPB Capital Holdings in Near Future
- Today’s Growth Consultant Inc., and Owner Kenneth Courtright, III, Charged with Operating Ponzi Scheme
- National Planning Corporation Ordered by FINRA to Pay $2.6 Million in Damages
- David Rosenberg, Former CEO of Prime Automotive, Demands Job Back as Prime Appoints New Chief Executive
- Investors Facing Advice to “Do Nothing” While GPB Capital Holdings Continues to Struggle
- T2 Biosystems (TTOO) Share Price Declines Significantly
- Key Investment Services Fined $425,000 by FINRA
- Former Client of Merrill Lynch Wins FINRA Award Over $300,000
- International Assets Advisory Fined $30,000 by FINRA
- Ace Diversified Capital Censured & Fined Following Allegations of Failure to Supervise Recommendations of Non-Traditional ETFs and ETNs
- International Investment Group, New York-Based Investment Adviser, Has Registration Revoked
- Recent GPB Statements to Investors Verifies Ponzi Scheme Concerns Alleged in Lawsuit
- Raymond James & Associates, Inc., Sued for Biscayne Capital-Related Losses
- Compliance Executive Who Raised Concerns About GPB Capital Holdings Alleges She has been the Target of Scare Tactics
- New Lawsuit Alleging GPB Capital Holdings is Operating a Ponzi Scheme
- FINRA Staring at Fresh Wave of Unpaid Arbitration Awards
- Sanchez Midstream Partners Suspended Cash Distributions for Investors
- Triad Advisors Subject to Multiple Disputes Regarding Sales of GPB Capital Private Placements
- Bolton Global Asset Management Sued by SEC for Failure to Disclose Conflicts
- FINRA Claim Filed in Connection to GPB Capital Holdings
- Did You Lose Money in GPB Capital Through Your Kalos Capital Broker?
- Harvest Volatility Management Collateral is Facing Allegations Involving Fraudulent Sales of Collateral Yield Enhancement Strategy Investments
- NOTICE TO WOODBRIDGE INVESTORS: Liquidating Trustee Report for September, 2019 Attached
- Mediatrix Capital Fund: Fraudulent Investment Scheme Investigation
- Whiting Petroleum Corporation Investment Losses
- GPB Capital Holdings Further Delays Release of Audited Financial Statements
- Investors Can Still Recover Investment Losses with RAIT Financial Trust Following Firm’s Bankruptcy Filing
- Information for Investors: Harvest Volatility Management Collateral Yield Enhancement Strategy (CYES)
- Did You Lose Money in Steepeners? Here’s What You Need to Know
- High-Risk Collateral Yield Enhancement Strategies Have Cost Investors Millions
- Iron Condor Losses: Frequently Asked Questions (FAQs)
- Sanchez Energy Corp Files for Bankruptcy
- Don’t Rely on the Class Action Lawsuit Against GPB Capital Holdings for Recovery of Investment Losses
- Lightstone Real Estate Income Trust Cuts Monthly Distributions by 50%
- Collateral Yield Enhancement Strategy Investment Losses
- Fidelity’s National Financial Services Gives GPB Investors 90 Days to Move Private Placements to Another Firm
- GPB Capital Holdings Sued By Former Business Partner for “Serious Financial Misconduct”
- Good News for 1st Global Capital Investors- The Debtor Promises to make an Initial distribution of $75 Million to Investors by the End of 2019
- GPB Capital Fund Armada Waste Management LP Loses Nearly 70% of Its Value
- Investors Have a Limited Amount of Time Remaining to Claim Commissions Pocketed By Swiss Banks
- H2O Asset Management Faces Serious Concerns Over Liquidity
- GPB Capital Holdings Reports Major Losses in its Largest Funds
- Phillips Edison Grocery Center REIT III Losses: Information for Investors
- Brokerage Firm Review: Hightower Securities, LLC
- Brokerage Firm Review: Ladenburg Thalmann & Co. Inc
- Brokerage Firm Review: Columbus Advisory Group
- Brokerage Firm Review: Buckman, Buckman & Reid, Inc.
- Brokerage Firm Review: Janney Montgomery Scott LLC
- Brokerage Firm Review: Capitol Securities Management, Inc.
- Brokerage Firm Review: PFS Investments Inc.
- Brokerage Firm Review: Voya Financial Advisors
- FINRA Bars Former LPL Financial Broker Philip Nalesnik for Outside Business Activity
- Former First Financial Equity Broker Stephen Whittaker Terminated for Alleged Outside Business Activities
- Broker Richard Pittman of Cetera Advisors has Customer Disputes Totaling $1M
- Ex-Wells Fargo Investment Advisor Wilfred Rodriguez Jr. Barred by FINRA for Moving Funds
- Former Voya Financial Advisor Robert Witt Barred by FINRA for Unauthorized Trading
- Former HD Investment Services Broker Erin Verespy Barred for Misappropriated Client Funds
- FINRA Broker Izhar Shefer Facing Numerous Allegations of Unsuitable Investment Recommendations
- Former PFS Investments Broker Derrick Trussell Barred After Declining to Cooperate with Investigators
- Information for Investors Who Lost Money in AAC Holdings, Inc. (AAC)
- Information for Investors Who Lost Money in Level Brands, Inc. (LEVB)
- Information for Investors Who Lost Money in Village Farms International, Inc. (VFF)
- Financial Advisor Barbara Kenerson Under Investigation After Unsuitable Investments and Churning Complaint
- Broker Michael Fassi of Centaurus Financial Facing Unsuitable Investment Complaints
- Former J. Sims & Co Broker Alan Appelbaum Allegedly Recommended Unsuitable Structured Products
- Dana Hawkins of Centaurus Financial Facing Pending FINRA Complaints for Unsuitable Investments
- Aegis Advisor Eduard Leytman Faces Customer Complaint Related to ETF Losses
- Did You Lose Money Investing With Ed Matthes, Formerly of Mutual of Omaha out of Wisconsin?
- FINRA Bars Dominic Tropiano for Unsuitable ETF Transactions
- Broker Investigation: Ricky Mantei of Centaurus Financial
- Newbridge Securities Customer Files FINRA Arbitration Claim Over GPB Capital Losses
- Neil Maxwell of Aurora, Colo. Barred From Using Certified Financial Planner Mark
- Steven A., Cohen of Brookfied, Conn. Barred From Using Certified Financial Planner Mark
- Larry C. Grossman of Palm Harbor, Fla. Barred From Using Certified Financial Planner Mark
- Financial Advisor Thomas T. Riquier of Danvers, Mass. Barred From Using Certified Financial Planner Mark
- Financial Planner Kevin Smith Barred by FINRA, Uncertified by CFP After Allegations of Misconduct
- Financial Planner Larry Templin Sanctioned by FINRA and CFP
- Financial Planner’s Certification Revoked Following Allegations of Misconduct
- Financial Planner Robert Kahn Loses Certification Following Allegations of Excessive Trading
- Investor Complaints: GMS Group Broker William Ornstein
- Elderly Couple Wins $3.2 Million in FINRA Arbitration Case
- Anselmo Contreras Jr. Barred by FINRA for Using Customers’ Funds for Personal Use
- Brokerage Firm Review: Securities America Inc.
- Brokerage Firm Review: Cambridge Investment Research
- Top Broker Fired by UBS Financial Services for Violating Firm Policies
- Brokerage Firm Review: LPL Financial LLC
- FINRA Sanctions Another Former LPL Financial Broker for Borrowing Money from Clients
- Broker-Dealer Ordered to Pay $205,000 in FINRA Sanctions
- Millions of Dollars Disappeared from Accounts Controlled by Accused Health Insurance Fraudster Steven Dorfman
- FINRA Suspends Thomas Edward Sova for Selling $250,000 in Woodbridge Ponzi Scheme Promissory Notes
- FINRA Suspends Kirk James Bertsch for Participating in the Unauthorized Sale of Promissory Notes
- Broker Investigation: Michael Patrick Murphy of Columbus Advisory Group, History of Complaints and Disclosures
- Former Broker Edward Beyn Barred for Churning and Excessively Trading Customer Accounts
- Frederick McDonald Jr., CEO of US Advisory Group Inc. Accused of Lying to Investors
- FTC Sues Simple Health Plans Over $150 Million Fake Comprehensive Health Insurance Scheme
- Wells Fargo Advisor David Manor Accused of Unapproved Outside Business Activity
- Northwestern Mutual Advisor Amanda Justine Sarabia Fails to Comply with FINRA Probe
- Former LPL Financial Rep Renee Altamirano Barred Following Allegations She Sold Firm Property on eBay
- Frederick David Holloway Barred by FINRA for Impersonating Clients and Other Unethical Conduct
- $1.3 Billion Ponzi Scheme
- Scott Patrick Klor Suspended and Fined by FINRA for Private Securities Transaction Structured as a Viatical Settlement
- Former LPL broker James Bylenga Barred by FINRA
- Broker Alert: Eric Olin Shanks barred for “Selling Away”
- Broker Alert: Charlotte Financial Advisor, James “Jim” Heafner, Fired for Risky Outside Investments
- Broker Alert: Gary L. Pevey Serving One Year Suspension, Failed to Notify His Firm of Private Transactions
- Broker Alert: Benjamin Galloway Barred for Rules Violations
- Bruce Anthony Zaro Suspended by FINRA for Forging Client Signature
- Joshua Zev Miller Suspended by FINRA for 12 Months for Check-Kiting Scam
- Broker Alert: Suresh Basnet Suspended for Unauthorized Transactions
- Barbara Bonnie Fox Suspended by FINRA for Borrowing Money from a Customer
- RIA Matthew Philip Amos Barred for Forging Signature
- Broker Jay R. Weiser Barred for Selling Private Securities
- Broker Mark Isidore Lamendola Barred for Selling Away, Falsifying Documents
- Broker Stewart Clinton Malloy Barred for Unsuitable Investments and then Failing to Comply
- Broker Alert: Qianqi Rao Barred for Allegedly Cheating on Series 52 Exam
- Broker Alert: Lily Pirouzian Settles Client Dispute for $250,000
- Broker Alert: Jason Reynolds Fired After Allegations of Unapproved Advertising
- FTC Calls Simple Health Plans, LLC a ‘Sham’ that Cost Victims Millions
- Broker Alert: Richard G. Cody Sentenced to Serve Two Years in Prison for Lying to the SEC
- Investigation: Vincent Storms, Advisor and Compliance Associate at Raymond James
- Broker Alert: Raymond Keith Malicki Barred by FINRA
- Broker James Bradley Schwartz – Who has a Long History of Customer Complaints – Faces New Allegations of Churning
- Investigation: Former Alexander Capital FA William Gennity Barred
- Investigation: Financial Advisor Michael Rappa Allegedly Sold $2.7 Million in the Woodbridge Ponzi Scheme
- Investigation: Former Morgan Stanley Broker James Mewhinney III
- Investor Notice: SEC Files Emergency Action to Stop Offerings Associated with Corporate Mystic, LLC, Commercial Exchange Solutions, Inc., and Exchange Solutions Company
- Broker Alert: Bradley Curtis Williams Barred for Alleged Check Kiting
- Ex-Kestra Broker Barred for Failing to Provide Requested Information
- Did You Lose Money Investing With Geneos Wealth Management, Inc. Financial Advisor Katrina Barrett?
- Broker Alert: Kyle Patrick Harrington Barred for Stealing Client Money
- Customer Files $500,000 Suit Against Broker Ron Carson Alleging Excessive Fees
- Former National Securities Corporation Advisor Leonard Mcabee Accused of Unauthorized Trading
- Broker Alert: Michael Royce Minghenelli Disciplined over Conversion of Funds
- Ex-Morgan Stanely Advisor Barred and Fired for Failing to Disclose Gifts
- Ex-MML Broker Barred for Selling $3.5 million in Woodbridge Ponzi
- Advisor Alert: Elizabeth Marie Garcia Barred Over Faked Childcare Expense Reports
- FA Ben Dembla Barred for Gaming Merrill’s Mutual Fund Share Order System
- Barred Broker Kitwana Thomas Made Fraudulent Reimbursement Requests
- Charles Schwab Broker Andrew Manuel Garcia Faces Customer Complaint for Converting Customer Funds
- Advisor Alert: Michael Cowan Faces Customer Complaint of $8 Million in Investment Losses
- Former Raymond James Financial Advisor Ronald Rothchild Faces Several Customer Complaints Due to Investment Losses
- Geneos Wealth Management Financial Advisor Samuel Monchik Faces an Investor Complaint Alleging Unsuitable Energy Sector Investments
- Network 1 Financial Advisor Wesley Clinton Faces Several Customer Complaints Claiming Unsuitable Investment Recommendations
- SEC Claims that Texas Real Estate Developers North Forty Development LLC and Texas Cash Cow Investments are Multimillion-Dollar Ponzi Scams
- Advisor Alert: Eric Paxton Neidermeyer – New Complaint of Risky Investments and Losses
- Financial Industry Veteran Barred For Failure to Testify
- William Anthony Shopoff, Shopoff Securities and Customer Complaints, and Settlements
- Broker Investigation: Thomas Lee Johnson Steals $1 Million from RBC Wealth Management
- Broker Investigation: Gopi Krishna Vungarala Barred for Hiding Commissions from Native American Tribe
- Did You Lose Money Investing in Mainsail Debt Fund LLC?
- Broker Investigation: Charles Gonzalez Barred For Non-Compliance with FINRA Investigation
- Broker Investigation: Dennis Allen Hayes Disciplined for Undisclosed Business Activity
- Broker Investigation: Broker Trevor Michael Saliba Faces Lifetime Ban
- Broker Investigation: Broker Eric S. Smith Barred, CCCS Brokerage Services, Inc. Suspended
- Denver Area Broker Daniel Todd Levine Resigns Following Alleged Outside Business Dealings
- Investors May Be Eligible to Recover Losses after Alaska Financial Company III Settles with SEC
- Broker Investigation: Stephen C. Carver Formerly with Cetera Advisors
- Unsuitable Investment Investigation: CNL Healthcare Properties
- 128 Counts of Fraud and Forgery Land Former Broker John Gregory Schmidt in Jail
- Morgan Stanley Ordered to Pay $4.2 Million to Former Clients for Aaron Parthemer’s Activities
- Broker Investigation: Ami Forte and Charles Lawrence Exploit Cognitively Impaired Client and Commit Numerous Violations
- Broker Investigation: Hector May
- ATTENTION WOODBRIDGE INVESTORS: Status Report In Comerica Case
- Three Brokers Charged with Non-Disclosure of Outside Business Activity
- Broker Investigation: Michael D. Jackson
- Broker Investigation: Jorge A. Reyes
- Broker Investigation: Nancy Kimball Mellon
- Innovation Partners, LLC. Allows Barred Broker to Practice
- Broker Investigation: Samuel Frederik Lek
- Broker Investigation: Ronald Blasczyk
- Broker Investigation: Nina Jessee
- Broker Investigation: George Puliafico
- Broker Investigation: Robert Ginsberg
- Broker Investigation: Frank Dietrich
- Broker Investigation: David Fagenson
- Broker Investigation: Robert Lee Basile
- Broker Investigation: Sam Aziz
- Broker Investigation: Mark Tudor
- Broker Investigation: Thomas Williams
- Broker Investigation: John Lodge Farmer
- Broker Investigation: Jodi Padgett
- Broker Investigation: Lynn Faust
- Broker Investigation: Wenjinn (James) Chang
- Broker Investigation: Alfred Weaver
- Former LPL Financial Broker Carol Ann Holesha Suspended for Borrowing Money from Customer
- Did You Lose Money with OptionSellers.com?
- Investor Alert: Oppenheimer Steelpath MLP Income Class A Fund Unsuitable for Most Investors
- Broker Investigation: Terrence Puricelli
- Broker Investigation: Charles Poulin
- Broker Investigation: Laurence Greene
- Broker Alex Herrera Barred by FINRA, Accused of Stealing Funds
- Broker Kyle Harrington Barred by FINRA, Accused of Stealing Funds
- FINRA: Commonwealth Financial Network Improperly Overcharged Investors
- Broker Investigation: Terrance Hood
- Founder of 1st Global Capital, Carl Ruderman, Pleads the 5th
- LPL Financial Fined $2.75 Million for Failing to Report Complaints
- Broker Investigation: Michael E. Heath
- Broker Investigation: David Ferwerda
- Broker Investigation: Bruce Plyer
- Broker Investigation: Ami Forte
- Broker Chris R. Kubiak Barred by FINRA, Accused of Stealing from Clients
- UBS Sues Fired Broker David Fagenson for Not Paying FINRA Arbitration Award
- Investment Advisor Scam Artist: Darrell Smith Gets Nearly 15 Years for Fraud
- Investigation: Former Western International Securities, Inc. CEO Dawn Bennett’s Ponzi Scheme
- Broker Investigation: John Halsey Buck III
- Investigation: Put Option Strategy Implemented by Sheaff Brock Investment Advisors, in TD Ameritrade Customer Accounts
- Broker Investigation: John-Aaron Lenhert
- Broker Investigation: Wilfred Rodriguez Jr.
- Broker Investigation: Kevin Smith
- Broker Investigation: Edward Davig
- Broker Investigation: Arthur Coffey
- Broker Investigation: Dwight West
- Broker Investigation: George McCaffrey
- Broker Investigation: Thomas Logue
- Broker Investigation: Susan Walker
- Broker Investigation: John Schmidt
- Brokerage Firm Investigation: Lincoln Investment
- Broker Investigation: Mitchell Toby Yanow
- Broker Investigation: Alejandro Falla
- Broker Investigation: Jeffery Joseph Kelly
- Broker Investigation: Luke A. Eddy
- Broker Investigation: Richard S. Hughes
- Broker Investigation: Timothy Ayre
- Broker Investigation: Emil Botvinnik and Jovannie Aquino
- Broker Investigation: Jerry Davis Raines and Donna Lynn Barnard
- Broker Investigation: Edward O. Daniel
- Broker Investigation: Benjamin S. Johnson
- Broker Investigation: Mark Charles Cohen
- Broker Investigation: Juergen Weber
- Broker Investigation: Vicente Castillo
- Broker Investigation: Charles Lewis Bloom
- Broker Investigation: Justin Giannillo
- Individuals Barred by FINRA in June 2018
- Broker Investigation: Steven Knuttila
- Investigation: Sandlapper Securities, LLC, and Brokers Trevor Lee Gordon and Jack Charles Bixler
- Broker Investigation: Linda C. Milberger
- Broker Investigation: J. Gordon Cloutier Jr.
- Broker Investigation: Aaron Parthemer
- Broker Investigation: Brian L. Stephan
- Investor Alert: Equitybuild Investment Loss Recovery Options
- Broker Investigation: Lloyd Thomas Layton
- Investigation: Edward Jones Fires Million-Dollar Brokers Over Elderly Client Accounts
- Broker Investigation: John C. Maccoll
- Broker Investigation: UBS Brokers Alex Herrera & John Maccoll
- Broker Investigation: Patrick Jermaine Phillips
- 1st Global Capital LLC – Under SEC Investigation for Possible Securities Law Violations – Files Chapter 11 Bankruptcy
- Future Income Payments LLC: How to Recover Losses
- Broker Investigation: John Schmidt
- Broker Investigation: Michael Barnett
- Broker Investigation: Stephen Hurtuk
- Broker Investigation: Larry Werbel
- Broker Investigation: Jerry Raines, former H.D. Vest broker
- Broker Investigation: Sebastian Jimenez
- Broker Investigation: Kimberly Pine Kitts
- Brokerage Firm Investigation: M Holdings Securities
- Broker Investigation: Alex P. Anderson
- Broker Investigation: Randall Hayes
- Broker Investigation: Daniel Irving
- Broker Investigation: Matthew Alan Morris
- Cetera Investment Services: Complaints & FINRA Enforcement Action
- Broker Investigation: Paul Soll
- Broker Investigation: Mitchell Yanow
- Investigation: TD Ameritrade Brokers RUSHI PATEL & RALPH WOOD for SVXY Trading Losses
- Broker Investigation: John Anthony Vedovino
- Broker Investigation: Jeffrey Robert Conklin
- Broker Investigation: Atiq U. Khan
- Broker Investigation: Michael Joseph Clarke
- Broker Investigation: Sean William Killoran
- Broker Investigation: Bradley Tennison
- Broker Investigation: Shakela Carter
- Broker Investigation: Edward Lee Moody
- Broker Investigation: Kyusun Kim
- Broker Investigation: Steven Knuttila
- Broker Investigation: James Kujawski
- Broker Investigation: Herbert Voss, Jr.
- Broker Investigation: Michael Morrissett
- Broker Investigation: Bruce Zipper
- Broker Investigation: Terry Lee McCoy
- URGENT INVESTOR ALERT: $102 Million Ponzi Scheme Has Defrauded Over 600 Investors
- Broker Investigation: Justin Travis Mair
- Former LPL Financial Advisor Bradley Gardner Barred by FINRA
- Fraud Investigation: Isaac Grossman, Adriana Grossman, Dragon-Click Corp.
- Broker Investigation: Kevin Graetz
- Broker Investigation: Douglas Leone
- Broker Investigation: Gary Adkin
- Broker Investigation: Laurence Torres
- Regulators Investigating Brokers/Advisors who Pushed the Woodbridge Wealth Ponzi Scheme on Investors
- Broker Investigation: Sean Aaron Brady
- Broker Investigation: Stacy Cheney-Jamison
- Broker Investigation: Ruben Gerardo Aleman Escalante
- Broker Investigation: Francis Acosta
- Broker Investigation: Ellen Vratoric
- Broker Investigation: Cornelius Peterson
- Broker Investigation: Richard Poston
- Broker Investigation: Donnell Noah Bowen
- Broker Investigation: John Douglas Wade
- Broker Investigation: Dallas York
- Broker Investigation: Amy Pesina
- Broker Investigation: Leona Parsons
- Broker Investigation: Maria Tamburro
- Investor Alert for UPS Employees
- Broker Investigation: Anthony Diaz
- Investor Alert: Sonn Law Group Investigating Rockwell Medical Inc.
- Broker Investigation: Brian Hussey
- Broker Investigation: Jacob Kagele
- Broker Investigation: Peter Lewis of Morgan Stanley
- Investigation: Menlo Therapeutics (“MNLO”) I.P.O. Losses
- Broker Investigation: Peter D. Holler
- Former LPL Financial Justin K. Wine Fired for Selling Unapproved Promissory Notes
- Broker Investigation: Iain P. Reilly
- Broker Investigation: Jeffrey A. Laberge
- Broker Investigation: Ryan N. Bowers
- Brokerage Firm Investigation: Madyson Capital Management
- Were you Sold LJMIX By John Pronovost?
- Broker Investigation: Jonathan Sweeney
- Broker Investigation: Ethan De Naray
- Broker Investigation: Donna Tucker
- Broker Investigation: Emil Skyba, formerly with Westport Capital Markets
- Brokerage Firm Investigation: Broker Dealer Financial Services Corp.
- Broker Investigation: James Knee Permanently Barred by FINRA
- Broker Investigation: David JC Bolton
- Broker Investigation: Charles A. Laverty
- Broker Investigation: Matthew Evan Eckstein
- Broker Investigation: J. Gordon Cloutier Jr.
- Brokerage Firm Investigation: Fifth Third Securities
- Firm Investigation: Windsor Street Capital
- Lawsuit Investigation: VelocityShares Daily Inverse VIX Short-Term ETN (XIV)
- Broker Investigation: Frederick David Holloway of Easton, Maryland
- Investor Lawsuit: LJM Preservation and Growth Fund (LJMIX, LJMAX, LJMCX)
- [Investor Alert] LendingClub (NYSE: LC) Securities Lawsuit Investigation
- Broker Investigation: Steven Pagartanis
- Broker Investigation: Spencer Edwards of Centennial, Colorado
- Broker Investigation: Scott Newsholme of Farmingdale, New Jersey
- Investigation: Charles Fackrell, Former LPL Financial Broker & Convicted Ponzi Scheme Felon
- FINRA Investigating Broker Dealers over Sales Practices and Supervision of Sales of VIX Related Products
- Investigation: Broker William Brunner Barred by FINRA for Unsuitable Trading
- Investigation: UBS Financial Advisor John Robert Morris
- Broker Investigation: Nicholas Genovese
- Abbott Laboratories Losses
- For Retirees and Former Employees of United
- For Former Employees and Retirees of Mondelez International
- For Former Employees or Retirees of Exelon
- For Retirees and Former Employees of Illinois Tool Works
- Broker Investigation: Donald Lueke
- Broker Investigation: Justin Yoon
- Broker Investigation: Jonathan Rankin
- Broker Investigation: Daniel Hartley
- Broker Investigation: Fuad Ahmed
- Broker Investigation: Marcus Parker
- Broker Investigation: Christopher Bennett
- Investigation: Former Cambridge Investment Research Broker Gary Strange
- Sonn Law Group Investigating Manipulation of the VIX and Mispricing of the XIV
- FINRA bars broker who churned account of 93-year-old client with dementia
- Finra bars former Morgan Stanley broker accused of accepting loans from clients
- Broker Christopher Lee Hibbard Fired by Merril Lynch After Theft Allegations
- Wells Fargo Advisors scrutinized by Justice Department
- Credit Suisse CEO: XIV Was for Sophisticated Daily Trading Only
- Jeffrey Palish – Former Wells Fargo Advisor – Arrested for Stealing from Elderly Clients
- INVESTOR ALERT: CDW Retirees May be Able to Recover 401(k) Losses
- Former IFS broker barred for fraudulent, private deals
- Broker Investigation: Carmine Claudio Capone of The GMS Group
- Broker Investigation: Trevor Michael Saliba
- Amid Ponzi scheme charges, investors await outcome of fight for Woodbridge control
- SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors
- Alert For Woodbridge Group Promissory Noteholders
- Woodbridge Mortgage Investment Fund: What Investors Must Know
- Broker Investigation: Roger Kroeger, Formerly of Invest Financial Corp. Charged with Felony Offenses
- First Position Commercial Mortgage Notes – What Investors Need to Know
- Broker Investigation: Christoper David Sinkula of Janney Montgomery Scott LLC
- Local Woodbridge office to close, Colorado securities division claims violations
- Securities Commissioner considering sanction on Woodbridge Mortgage Investment Funds
- FINRA bars ex-indie advisor over $7M in private securities sales
- Finra bars ex-broker for private securities deals
- Raymond James Financial Services: Information for Investors
- Woodbridge Group Officials Take the 5th Amendment Against Self-Incrimination
- Texas Advisor John Michael McDonough Suspended 90 Days
- National Planning Corporation: Information for Investors
- Investigation: Garden State Securities for Failure to Properly Supervise Investments in Non-Traditional ETFs
- Investigation: FSC Securities Corporation for Unsuitable Recommendations of Non-Traditional ETFs
- Next Financial Group: Information for Investors
- Investigation: Charles Cumber, broker suspended by FINRA for outside business activities
- Stock Losses in Behavioral Recognition Systems Labs, now known as Giant Gray?
- Navellier & Associates: Information for Investors
- United Planners Financial Services: Information for Investors
- Investigation: Woodbridge Group of Companies
- Investigation: Lorenzo C. Esteva, former UBS and Merrill Lynch broker barred by FINRA
- Investigation: Darrell Pope, former US Bank broker recently suspended by FINRA
- Investigation: Leon Vaccarelli, financial advisor accused of defrauding elderly clients
- The Sonn Law Group Continues to Investigate Financial Advisor Angel Aquino-Velez
- Investigation: Maher Saieh, ex-Merrill Lynch broker suspended, fined by FINRA
- Investigation: Adam Veron, ex-Questar Capital Broker Barred by FINRA
- Investigation: Kerbye Arthur, ex-Wells Fargo broker barred by FINRA
- National Securities Corporation Reviews
- Investigation: James Schaedler, ex-Wells Fargo advisor barred by FINRA
- Investigation: Broker Ryan Sanford Lawson suspended by FINRA
- Woodstock Financial Group: Information for Investors
- Optimal Economics Capital Partners Fraud
- Investigation: Jim Seol, barred by FINRA for participating in private securities transactions
- Southwest Securities: Information for Investors
- Investigation: Brant Andrew Ray, formerly of Cetera Advisors
- Investigation: Walter Joseph Marino, formerly of Lincoln Investment
- Investigation: James Davis Trent, formerly of AXA Advisors LLC
- Investigation: Ronald Broadstone, formerly of UBS Financial Services
- Investigation: Corinne Mittag, former Investment Advisor with COR Clearing LLC
- Investigation: Samuel Lek, CEO of Lek Securities Corporation
- Investigation: William F. White, Investment Broker w/ PRIMEX
- Investigation: Barry Connell, Investment Advisor Formerly w/ Morgan Stanley
- VSR Financial: Information for Investors
- Investigation: Bennett Scott Broad, Permanently Barred by FINRA
- Investigation: Cecil E. Nivens, Previously Employed at NYLife Securities LLC
- Investigation: Darlene Bandy, Former UBS Representative
- Investigation: Lightspeed Trading, LLC
- Investigation: Austin Wayne Morton, Formerly of Edward Jones
- Investigation: Inland American Real Estate Investment Trust, now InvenTrust
- Investigation: Patrick D. Combs, Formerly of Morgan Stanley
- Investigation: Gaylon Edward Joullian, an Investment Advisor at AXA Advisors, LLC
- Investigation: Saly Glassman, financial broker at Merrill Lynch
- Investigation: Erick J. Arnett of Dalton Strategic and Rnett Consulting
- Investigation: Talman Harris, formerly with Radnor Research & Trading Company
- Investigation: Ralph Marra, former broker with Morgan Stanley and UBS
- Investigation: Jaoshiang Luo formerly of Westrock Advisors, Inc.
- Investigation: Bernardo Misseri formerly of Legend Securities
- Investigation: Dennis A. Mehringer, Jr., of Western International Securities
- Investigation: Kelly Clayton Althar, formerly of Financial West Group & Paulson Investment Company
- Investigation: Henry Dean Watson, former broker at Hilliard Lyons
- Investigation: Ken Balser formerly of Cetera Advisors
- Investigation: John Corsi of Sterne Agee Financial Services
- Investigation: Gary Saitowitz of Transamerica Financial Advisors & IFS Securities
- FINRA Suspends, Fines Representative for Engaging in a Securities Business w/o Proper Licensing & Registration
- FINRA Suspends, Fines Representative for Private Securities Transactions Without Proper Firm Notice
- Investigation: Hank Mark Werner of Legend Securities
- SEC fines UBS – Investigation of UBS’ sale of reverse convertible notes
- Investigation into Steven M. Wyatt
- George Merhoff: Investigation of Claims Related to Cetera Financial Advisor
- Update on Paul Blum Investigation
- Investigation: Gregory Barr of Raymond James
- Investigation into Douglas Robert Moline of Janney Montgomery Scott
- Investigation into Kim Dee Isaacson of Ameriprise Financial Services
- Investigation into Charles Frieda
- Investigation of Claims Regarding Former VSR Financial Services Broker John Howard Towers
- Investigation of Claims Regarding Former Royal Alliance Broker Frank John Capuano
- Investigation: Douglas Simanski (Altoona, PA) of Next Financial Group
- Investigation: Michael Sharenow’s Sale of Puerto Rico Bonds
- Investigation into Claus C. Foerster Formerly of Raymond James
- Investigation into Samuel Kluft Koltun of RBC
- Investigation into Lisa Lowi Formerly of Janney Montgomery Scott and RBC Capital Markets
- Sonn Law Group Investigating Claims Regarding Former NFP Advisor Services Broker Robert Joseph Regan
- Sonn Law Group Investigating Claims Related to Investments in Breitburn Energy
- Sonn Law Group Investigating Claims related to Beth Ty, Formerly of Park Avenue Securities, Sale of Daystar Funding and Frederick Alan Voight Promissory Notes
- Sonn Law Group Investigating Claims Related to SandRidge Energy
- Investigation: Sean Premock of Kovack Securities
- Sonn Law Group Investigating Claims Regarding Annuities Sales by Broker Winston Turner
- Sonn Law Group Investigating Claims for Investment Losses Related to United Development Funding IV
- Master Limited Partnerships Cut, Suspend Dividends to Improve Liquidity
- Sonn Law Group Investigating Claims Related to Investments in Linn Energy
- Investigation: Kevin Wanner (Bismarck, ND) of Questar Capital Corporation
- Sonn Law Group Investigating Claims Related to Investments in Energy Infrastructure Through Master Limited Partnerships
- Investigation: David Lerner Associates and Spirit of America Energy Fund (SOAEX)
- Investigation of Claims Involving James D. Belenis
- Investigation of Claims Involving Charlotte Ann Guin
- Investigation of Claims Involving Bharminder “Ricky” Singh
- Investigation into Claims Involving Stewart Clinton Malloy
- Investigation of Claims Involving Former Wells Fargo Broker Robert Versaggi
- Sonn Law Group Investigating Claims Involving Anthony Gary Epps
- Sonn Law Group Investigating Claims Involving Jeffrey David Daggett
- Sonn Law Group Investigating Claims Involving Former Wells Fargo Broker Nicholas Harper
- Sonn Law Group Investigating Claims Involving Alejandro Torres
- Sonn Law Group Investigating “Selling Away” Claims Involving Former National Securities Broker Vincent Balsamo
- Sonn Law Group Investigating Claims Involving Michael J. Howard
- Sonn Law Group Investigating Claims Involving Former Morgan Stanley Broker Ronald Cohen
- Sonn Law Group Investigating Claims Involving Natalie H. Hall
- Investigation: Phil G. Fiore, Jr. of UBS Financial Services
- Sonn Law Group Investigating Claims Involving Former Wells Fargo Broker Randall Girton
- Sonn Law Group Investigating Claims Involving City Securities Broker Leonard Tanner
- Sonn Law Group Investigating Claims Involving Joseph DiRago, Jr.
- Investigation: Brian Exford, formerly of State Farm VP Management Corp.
- Sonn Law Group Investigating Claims Involving Former Oppenheimer Broker Royce Simpson
- Sonn Law Group Investigating Claims Involving Former Oppenheimer Broker Perry Abbonizio
- Sonn Law Investigating Unauthorized Trading Claims Involving Armen Bahadourian
- Sonn Law Group Investigating Claims Involving Former Merrill Lynch Broker Joel Blum
- Investigation: Broker James Rosebrough, Formerly of Securities America, LPL Financial
- Sonn Law Group Investigating Claims Involving Former Morgan Stanley Broker Patrick Manriquez
- Sonn Law Investigating Claims of Unauthorized Trading and Former Morgan Stanley Broker Debra Lyman
- Sonn Law Group Investigating Claims Involving Former PFS Investments Broker Michael Korson and His Outside Business, My Coupon Genie, Inc.
- Sonn Law Group Investigating Claims Involving Patrick R. Harrison and Selling Away
- FINRA fines LPL Financial $11.7 million
- Sonn Law Group Investigating Claims Involving Former JP Morgan Securities Broker Michael Oppenheim
- Sonn Law Group Investigating Claims Involving Gregg Alan Beemer
- Sonn Law Group Investigating Claims Involving Former SagePoint Financial Broker Daryl Richard Lemon
- Sonn Law Group Investigating Claims Involving Former Merrill Lynch Broker Michael Richard Crow
- FINRA Fines UBS $500,000, Vanguard $350,000 For Broker Reporting Failures
- Sonn Law Group Investigating Claims Involving Former MetLife Securities Broker Michael John Smeriglio III
- Sonn Law Group Investigating Claims Involving Angela Borchardt
- Sonn Law Group Investigating Claims Involving James Van Doren
- FINRA Permanently Bars Jeffrey C. McClure For Stealing From Elderly Client
- FINRA Fines Popular Securities $125,000
- FINRA Fines 10 Firms a Total of $43.5 Million in Connection With Toys”R”Us IPO
- Investigation: Stefani Ann Bennett (Salmon, Idaho)
- FINRA Bars Former LPL Broker Gary Chackman for Misconduct Related to Nontraded REITs
- Sonn Law Group Investigating Claims Involving Former Oppenheimer Broker Mark Hotton (West Islip, New York)
- Sonn Law Group Investigating Claims Involving Lucas Swanson (San Francisco, CA)
- Sonn Law Group Investigating Claims Involving John Morgan Pickens, Jr. (Dunbar, WV)
- FINRA Bars Richard Allan Danz, St. Marys, Pennsylvania, from Securities Industry Following Misappropriation of Client Funds
- Sonn Law Group Investigating Claims for Investor Losses in Puerto Rico’s Tax Free Bond Funds
- FINRA Charges Former Morgan Keegan, Oppenheimer Broker Jeremy G. Tintle with Selling Unapproved Investment and Converting Customer Funds
- FINRA Fines, Censures Raymond James & Associates, Inc. For Failures Related to Corporate Bond Pricing
- FINRA Fines Deutsche Bank Securities, Inc. $275,000 for Supervisory Failures Related to Swap Trades Involving US Equities
- FINRA Bars Joseph Mahmud from Securities Industry Following Misappropriation of $95,000 from Customer Annuity
- FINRA Bars Former Wells Fargo Representative Adrienne Marie Llamas (Long Beach, California) From Securities Industry Following Cherry-Picking Scheme with Convicted Former Wells Fargo Broker Philip D. Horn
- FINRA Bars Adorean Boleancu (Napa, California) From Securities Industry, and Orders $650,000 Restitution Following Conversion of Elderly Client’s Funds
- FINRA Fines, Suspends Darrell Wayne Mikulencak (Washington, Missouri) Following Submission of Falsified Documents to Chase Investment Services Corp.
- FINRA Bars Mark Allen Larson (Stillwater, Minnesota) From Securities Industry Following Withdrawal From Customer Annuity Using Forged Signature
- FINRA Fines, Suspends Scott Lawrence Olson (Melbourne, Florida) Following Use of Misleading, Exaggerated Advertisements
- FINRA Censures, Fines Douglas Evan Greenberg (Lake Oswego, Oregon) for Unauthorized Trades
- FINRA Fines, Suspends Raymond James Broker Theodore Edward Williams, Jr. (Lake Forest, Illinois) for Unauthorized Trades
- FINRA Fines, Censures Raymond James & Associates, Inc., for Improper Handling of Fail-to-Deliver Positions
- FINRA Fines, Censures Orion Trading, LLC, for Inadequate Supervision, Sale of Unregistered Securities
- FINRA Fines, Suspends Jim Eugene Scala, Jr., of Palm Harbor, Florida
- FINRA Fines, Suspends Tiffany Lea Chamberlain of Hollywood, Florida
- FINRA Bars Glen Edward Smith, Jr., Lake Worth, Florida, from Securities Industry
- FINRA Fines, Suspends Alan Richard Joyce of Jacksonville, Florida
- FINRA Fines, Suspends George Robert Hunt of Sarasota, Florida and Orders Restitution of $63,500
- FINRA Bars Johan Mary-Lyn Akal of Sarasota, Florida, from Securities Industry
- FINRA Censures, Fines Lampost Capital, L.C., of Boca Raton, Florida, and Fines, Sanctions Registered Principal Gregg Allan
- FINRA Bars Fort Lauderdale, Florida Broker Jeffrey Rubin Following NFL Players’ Losses of $43 Million
- FINRA Fines, Suspends Boca Raton, Florida Registered Representative Richard Alan Seligson
- FINRA Suspends Palm City, Florida Registered Representative Donald Richard Dahn
- FINRA Censures, Fines Miami, Florida Firm Tradewire Securities, LLC
- FINRA Censures, Fines Miami, Florida Firm EFG Capital International Corp.
- FINRA Fines, Suspends Jacksonville, Florida Registered Representative Clayton George Roach
- FINRA Fines, Suspends Longwood, Florida Registered Representative James DeFranco Marshall
- FINRA Disciplines John Boyd Dexter of North Miami, Florida
- FINRA Expels Hudson Valley and its CEO Mark Gillis
- David Lerner Associates Sanctioned over $14 Million by FINRA
- Virginia Financial Advisor Pleads Guilty to a $1 Million Ponzi Scheme
- Broker Andrew Rosenberg from Weston, Fla is Fined and Suspended by FINRA
- JP Morgan Chase Sale of Proprietary Mutual Funds Under Investigation by Sonn Law Group
- Category: Investment News
- 6 Infamous Ponzi Schemes and How To Avoid Them
- SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud
- SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players
- SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity
- Financial Advisor Forgery: Understanding the Scenario, Consequences, and Investor Protection Measures
- Understanding FINRA Arbitration: Types of Claims Customers Can Bring Against Brokerage Firms
- SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violations
- SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud
- Attention Investors in Alliance Bernstein LP. Option Advantage Strategy
- SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme
- SEC Files Emergency Action Against Miami Investment Adviser BKCoin and Principal Kevin Kang for Orchestrating $100 Million Crypto Fraud Scheme
- Insurance Executive Greg Lindberg Indicted, Faces Allegations of Perpetrating $2B Fraud
- Finra Member Caught Lying During Arbitration and Sanctioned $100,000; FINRA Must Immediately Take Action
- Brokers Sold GWG L Bonds for Years Despite Red Flags (InvestmentNews.com)
- Sonn Law Reminds GWG Bondholders to File Their Bankruptcy Claims
- BREAKING: Georgia Court Vacates Arbitration Award; Finds That Wells Fargo and Attorney Terry Weiss Committed Fraud by Manipulating FINRA Arbitrator List
- UBS Wealth Management USA Approaches Resolution of Puerto Rico Fund-Related Damages Claims
- Sonn Law Group Says Accused Ponzi Schemer Larry Ramos Mendoza Has Escaped House Arrest Pending Charges in Ponzi Scheme Case
- WFG Investments Inc: Information for Investors
- House Democrats Investigate Trump-Backed “Junk” Healthcare Plans
- UPDATE: Woodbridge Group of Companies Lawsuits
- Utah Securities Regulators Crack Down: Three Brokerage Firms Fined for Unlawful Networking Agreements With Credit Unions
- Shareholder Alert: National Beverage Corp.
- Failure to Supervise: Former NFL Star Wins $1 Million From Woodbury Financial
- Lack of Oversight: Securities America Failed to Spot and Stop Advisor’s Scam
- Georgia Couple Sues Credit Union, Financial Advisor Over Alleged $330,000 Investment Fraud
- Perry Ellis International Enters into a $437 Million Transaction to Become a Private Company Through an Acquisition Led by George Feldenkreis
- Ex-LPL FA Barred for Paying Taxes with Client Funds
- Finra bars former Morgan Stanley broker who sought client loan for outside activities
- Ex-LPL Rep Barred After Firing Over Unauthorized Trading Allegations
- Former UBS Broker with Celebrity Client Ordered to Repay His “Loan”
- Ex-BBVA broker suspended over alleged $150K customer loan
- Sonn Law Group Encourages Investors to Support the Compensation for Cheated Investors Act
- Ex-Cetera advisor suspended for allegedly trading options with customer’s retirement money
- The Buck stops here; Ex-Merrill advisor barred by SEC
- Barred broker charged with embezzling $287K of client funds
- Former Morgan Stanley, J.P. Morgan advisors expelled for blowing off FINRA probes
- Source Capital Group: Information for Investors
- MML Investors Services, LLC: Information for Investors
- First Allied Securities: Information for Investors
- Folio Investments, Inc: Information for Investors
- Centaurus Financial: Information for Investors
- Signator Investors: Information for Investors
- Woodbury Financial Services: Information for Investors
- Oppenheimer & CO: Information for Investors
- Questar Capital: Information for Investors
- SEC Fines Morgan Stanley $13M for Overcharging Clients
- SEC Files Motion Requesting Chapter 11 Trustee be Appointed in Woodbridge Bankruptcy
- Finra bars ex-Merrill broker alleged to have borrowed money from clients
- FINRA fines Raymond James $2 million for flawed email monitoring system
- FINRA bars former UBS rep for private securities transactions
- Woodbridge bankruptcy burns advisers and real estate investors
- Property group Woodbridge files for bankruptcy amid SEC probe
- SEC task force to crack down on abuse of retail investors
- Ex-broker charged in $1.4M fraud to fund ‘personal piggy bank’
- Ex-$1.3B Merrill broker to plead guilty to fraud, settles SEC charges for $5M
- Former RBC broker barred for not complying with FINRA probe
- SEC investigates potential fraud of $1 billion at California firm
- Ex-Morgan Stanley Broker Suspended over Fantasy Sports Biz
- Advisers: Morningstar’s star ratings not much use, but clients love them
- FINRA Orders Wells Fargo Broker-Dealers to Pay $3.4 Million in Restitution
- FINRA Says Rep’s ETF Trades Cost Customers $8.4M
- Financial advisor says he promised to invest $890K, pocketed it instead
- Ex-LPL advisor faces fresh charges in alleged fraud
- LPL not subject to possible fines in SII Investments case
- Ex-advisor pleads guilty to $6M fraud, used funds to buy a Range Rover
- Ex-SunTrust broker barred for not complying with FINRA probe
- Ex-Ameriprise Broker Ordered to Cover Firm’s Tab in Client Dispute
- SEC Says Ex-DC Atty ‘Minimizes’ Role In $14M Ponzi Scheme
- FINRA suspends ex-Citi broker for alleged unsuitable muni bond recommendation
- SEC charges Navellier & Associates with fraud
- SEC charges ex-Connecticut rep with $1 million fraud
- SEC gets court to freeze assets of former LPL broker
- Using fake persona, advisor defrauds pro athlete and his wife of $1.2M: SEC
- LPL advisor stole $2.8 million from clients for houses, credit cards: SEC
- Citigroup Global — formerly Smith Barney — hit with $11.2M arbitration award
- LPL brokers, OSJ manager defrauded 200 federal employees: SEC
- FINRA Panel Bars Rep. In $100M EB-5 Dispute
- NFL Player Adviser Settles With SEC Over Unregistered Sales
- FINRA Seeks Information From Fired Wells Fargo Reps
- FSI Shares Views, Case Studies on Outside Business Activities
- Broker Charged With Defrauding Customers in ETF Funds
- FINRA bars former Morgan Stanley broker over $190M
- S&P Downgrades Illinois Debt, Sees Risk of ‘Negative Credit Spiral’
- A-Rod’s Cousin Gets Deposition Delayed In MLB Drug Suit
- $50M Final Judgment Settles MRT Securities Suit
- UBS Says It Didn’t Know Judge’s Dad Had Arbitration ‘Cameo’
- Illinois Bondholders May Be In Danger Of Losing Big Money On Their Bonds Says Sonn Law Group
- Puerto Rico Bankruptcy Puts Pensions At Risk
- Puerto Rican Agencies Added To Restructuring
- Broker Agrees To Deal Over Alleged REIT Violations
- Barclays to pay $97M over claim of overcharging clients
- Puerto Ricans Face ‘Sacrifice Everywhere’ on an Insolvent Island
- Puerto Rico files for biggest ever U.S. local government bankruptcy
- Trump rejects push to help solve Puerto Rico debt crisis
- Puerto Rico Debt Crisis in 2017: A Round-Up of the Top Stories
- Puerto Rico Seen Sliding Toward Bankruptcy as Deadline Nears
- Moody’s Downgrades $13 Billion of Puerto Rico Bonds, Revises Outlook to Negative from Developing
- Colorado Springs investment firm agrees to sanctions related to unregistered securities sales
- Morgan Stanley Settles Charges Related to ETF Investments
- UBS loses another Puerto Rico bond claim, this time for $4.4 million
- Investment News: JPMorgan Faces Allegations of Self-Dealing in 401(K) Plan
- Puerto Rico COFINA bondholders ask U.S. judge to rule in debt fight
- Puerto Rico Bonds Decline After Recovery Plan Leaves Less for Paying Debts
- Oversight Board Director Owns at Least $265,000 in Puerto Rico Bonds
- Phoenix Investment Firm Lawson Financial Corporation Accused of Securities Fraud
- Philadelphia Lawyer Michael Kwasnik Indicted in $13 Million Ponzi Scheme
- FINRA arbitration panel hits UBS with $9M award in Puerto Rican bond case
- FINRA Expels Red River Securities for Oil and Gas Fraud
- Hamilton Ponzi Scheme Targeted Big Billionaires
- Johnny Depp proves why we need a fiduciary rule
- Puerto Rico Defaults on Multimillion-Dollar Debt Amid Crisis
- Swiss bank ordered to pay investors over $25 million for losses involving Puerto Rico bonds
- Official: Puerto Rico government could collapse if no steps taken
- The Department of Labor’s New Fiduciary Duty Rule
- Claims Related to Investments in Swift Energy Co., Basic Energy Services, Inc., et. al.
- UBS hit with $2.5 million award in Puerto Rico case
- Couple Wins $2.5 Million in Arbitration Against UBS
- Puerto Rico Misses Bond Payment; Half of US Open-End Muni Funds Exposed to Puerto Rico Debt
- SEC Charges H.D. Vest Investment Services With Supervisory Failures Related to Registered Reps’ Outside Business Activities
- Recording Shows UBS Pressured Doubtful Brokers to Sell High Risk Puerto Rico Funds
- SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales
- SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud
- FINRA Cautions Investors Regarding E-Cigarette Stock Scams
- FINRA Issues Investor Alert Regarding Precious Metals
- Ex-Broker Ordered to Pay Former NBA Player $2M
- SEC Sanctions UBS Financial Services, Oppenheimer & Co., J.P. Morgan Securities, and 10 Others for Improper Sales of Puerto Rico Junk Bonds
- FINRA Cautions Investors Regarding Dormant Shell Companies and “Pump and Dump” Schemes
- UBS Settles Claims with Puerto Rico Regulator
- SEC Hands Out Record $30 Million Award to Whistleblower
- FINRA Submits New Proposed Rule Requiring Broker Background Checks to SEC for Approval
- FINRA Warns Investors to Proceed with Caution Regarding “Frontier Funds”
- Morgan Stanley must pay $4.5 million to Banamex: panel
- Citigroup must pay couple $3.1 million for not overseeing broker: panel
- FINRA Cautions Investors on Viral Disease Stock Scams
- Morgan Stanley Ordered to Pay $4.5 Million to Mexico-Based Trust
- FINRA panel smacks Morgan Stanley with $4.5M arbitration award
- Exclusive: UBS faces criminal probe for Puerto Rico bond fund sales – lawyers
- FINRA Cautions Investors on the Risks of High Yield CDs
- Moody’s Downgrades Puerto Rico Bonds to Junk; US Investor Funds Sell Off Puerto Rico Debt to Meet Investor Redemption Demands
- Standard & Poor’s Downgrades Puerto Rico Bonds to Junk; UBS Report Anticipates Other Downgrades to Follow
- Investors in Puerto Rico Debt Investigate Options for Restructuring
- SEC Issues Risk Alert Regarding Investment Advisors’ Due Diligence on Alternative Investments
- Sonn Law Group Wins Another 100 Cents on the Dollar Award Against Morgan Keegan
- FINRA Seeks Input on Proposed Customer Account Monitoring System
- FINRA Cautions Investors to Consider the Source of Distributions from Closed-End Funds
- FINRA Cautions Investors on the Risks of Purchasing Securities Using Margin
- SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering
- Miami Dolphins player demands refund from D.C. firm over investment
- UBS Posts Losses of $41 Million in Connection with Bet on Puerto Rico Debt
- UBS in the hot seat amid Puerto Rican bond crisis
- Miami Lawyers Help Investors Recoup Money After Broker’s Bad Recommendations
- Investors Relay Common Themes Regarding Sales Pitches That Convinced Them to Invest in UBS Puerto Rico Tax Free Bonds
- FINRA Cautions Investors on the Risks of Investing in Private Placements
- Puerto Rico’s bond losses hit local investors
- Many bond investors ‘trapped’ in closed-end funds
- Orlando couple win $3.1M award from Citigroup Global
- Citigroup Global — formerly Smith Barney — hit with $3.1M arbitration award
- Citi Ordered to Pay Two Investors $3.1 Million for Losses
- UBS to Pay $50 Million to SEC for Misleading CDO Investors By Retaining $23.6 Million in Undisclosed Upfront Payments
- Morgan Stanley Fined $1 Million, Ordered to Pay $188,000 Restitution for Failing to Provide Best Execution and Fair Pricing Violations in Customer Bond Transactions
- FINRA Beefs Up Investigation of Arbitrators with Annual Background Checks
- Berthel Fisher Faces Class Action For Misrepresentations and Omissions
- Tony Thompson and Thompson National Properties Defrauded Investors in TNP Notes Programs, According to FINRA Complaint
- Retirees Seek Damages from NFP Securities, Inc., and Securities America, Inc., for Capital Solutions Sold Through Andrew Stuart Asset Management
- Record-Breaking Detroit Bankruptcy Filing Worries Bond Investors
- Florida Couple Wins $830,000 After Lehman Investment
- SEC Alleges Former LPL Financial Advisor Blake Richards Stole $2 Million from Clients
- RBC Loses Finra Arbitration Over Lehman Stock Advice
- RBC Slammed With Punitive Damages in FINRA Arbitration Case, Announces Sonn Law Group
- RBC Ordered to Pay Couple $831,000 Related to Sale of Lehman Stock
- LPL Financial to Pay $9 Million for Systemic Email Failures and Misstatements to FINRA
- Investor Alert: Buying & Selling Pension or Settlement Income Streams
- FINRA Reminds Brokerage Firms That Communications Regarding Nontraded Real Estate Investment Trusts Must Be Fair and Balanced
- Vanished: Boca lawyer’s troubling tale
- Investors in Apple REITs Should Strongly Consider Individual Arbitration Claims Following Dismissal of Class Action Against David Lerner Associates, Inc.
- Lawsuit: Miami Dolphins’ Jared Odrick sacked by investment advisor
- RBC Capital Markets Agrees to $450,000 Settlement with New Jersey Regulator For Failure to Review Accounts Following $19 Million Life Settlement Ponzi Scheme
- SEC Warns of Significant Deficiencies Involving Adviser Custody and Safety of Client Assets
- UBS, TD Ameritrade Warn Investors on Risks of Bond Investments
- SEC Charges Couple With Defrauding Seniors Using Purported Charitable Gift Annuities
- SEC Charges Former Jefferies Executive Jesse Litvak with Defrauding Investors in Mortgage-Backed Securities
- Wells Real Estate Funds to Halt New Offerings
- All Public Panel Beneficial to Investor Claimants, According to FINRA 2012 Data
- Merrill Lynch Becomes First Major Wirehouse to Offer Non-Traded REITs
- Elderly Retiree Loses More than $500,000 in Illiquid Real Estate Investments and Hennessey Fund Scheme
- $1.7 Million Settlement in Ruden McClosky Hedge Fund Lawsuit
- Investors Damaged by Behringer Harvard REIT I Should Consider Individual Claim Despite Class Action Efforts in Texas Federal Court
- Miami Entrepreneur Charged by SEC for Stealing Investors Money
- FINRA Investigates Variable Annuities with Subaccounts in Hedge Funds
- Widespread Real Estate Fraud Victimizes TIC Investors
- Panel awards couple $1.34 million in securities dispute
- 25 year old Boca Raton, Florida Resident Runs $10 Million Ponzi Scheme
- Guggenheim Securities Fined $800,000 by FINRA for Failing to Supervise CDO Traders
- Bank of America Merrill Lynch hit with $1.3 million arbitration order
- Merrill Owes Couple $1.3M For Fannie Mae Investment
- Merrill ordered to pay couple $1.34 mln over Fannie Mae shares
- Merrill Lynch Slammed With $1.33 Million Verdict Over Fannie Mae Preferred Stock, Says Sonn Law Group
- SEC Charges Four Brokers in an $18.7 Million Illegal Trading Scheme
- Bernie Madoff Remains An SEC Approved Money Manager. Huh?
- Another Atlanta Firm is Being Sued by the SEC for Fraud
- J.P. Turner Charged with Churning Customers Accounts
- Palm Beach Gardens Broker Accused of Stealing $500k from Investors.
- FBI Charges Five Florida Residents with Conducting $20 million fraudulent scheme.
- SEC Charges Two Miami Brokers with Fraud
- California Judge Could Make Expungement of Financial Misconduct Easier.
- Hall of Fame Coach Charged with $80 Million Ponzi Scheme by the SEC
- $600 Million Ponzi Scheme Halted by SEC
- Nontraded REITs continue to see devaluations
- SEC Investigates Miami Bonds issued for the Marlins Stadium
- Bipartisan Bill Will Allow the Securities and Exchange Commission to impose $10 Million in Fines.
- ICON Fund Losses may be Recoverable
- “Selling Away” Case Ends with Recovery of Full Out-Of-Pocket Loss, Costs and Punitive Damages by Sonn Law Group
- $67 Million Verdict Against TD Bank a Wake Up Call to Banks to be More Vigilant, Says Sonn Law Group
- SEC says Plantation pair misappropriated $30 million
- Miniaci family wins $1M award against Morgan Keegan & Co.
- Morgan Keegan Hit With $1.1 Million Award
- Morgan Stanley Told to Pay Client $850,000
- Category: Opinion
- Category: Personal Injury
- Category: Popular Articles
- Category: Puerto Rico Bond Losses
- Category: Recently Filed Cases
- Category: Securities & Investment FAQ
- Category: Structured Products
- What Are Structured Finance Products?
- World Bank Green Bonds Callable Fixed to CMS Linked Notes CUSIP: 45905UQU1
- World Bank Callable Fixed to CMS Notes CUSIP: 45905UPV0
- World Bank Callable Fixed to CMS Notes CUSIP: 45905UPU2
- World Bank Callable Fixed to CMS Notes CUSIP: 45905UPQ1
- World Bank Callable Fixed to CMS Notes CUSIP: 45905UPL2
- World Bank Callable Fixed to CMS Notes CUSIP: 459058DP5
- United Community Bank Callable Fixed to Floating Rate Market-Linked Certificates of Deposit CUSIP: 90984P4Q5
- United Community Bank Callable Fixed to Floating Rate Market-Linked Certificates of Deposit CUSIP: 90984P4P7
- United Community Bank Callable Fixed to Floating Rate Market-Linked Certificates of Deposit CUSIP: 90984P4N2
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 83368WDT5
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 83368WCG4
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 83368WCB5
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 83368WBX8
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 83368WBD2
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 78423EEA8
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 78423A2P6
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 78423AU75
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 78423AF80
- Société Générale 20 Year Callable CMS Spread Notes CUSIP: 78423AD90
- Société Générale 20 Year Leveraged Callable CMS Spread NOTES CUSIP: 78423AC42
- Société Générale Offering Memorandum CUSIP: 78423AXJ6
- RBS Callable Range Accrual Notes CUSIP: 78011PAA5
- RBS Capped Callable Leveraged Steepener Notes CUSIP: 78009PBK6
- RBS Capped Callable Leveraged Steepener Notes CUSIP: 78009PBE0
- RBS Callable Capped CMS Steepener Notes CUSIP: 78009KQW5
- RBS Callable Capped CMS Steepener Notes CUSIP: 78009KPR7
- RBS Callable Capped CMS Steepener Notes CUSIP: 78009KNQ1
- RBC Fixed to Floating Rate Notes CUSIP: 78010UWK9
- Goldman Sachs Callable Quarterly CMS Spread-Linked Notes (Cusip: 38147QGA8)
- Goldman Sachs Callable Quarterly CMS Spread-Linked Notes (Cusip: 38141GUF9)
- Goldman Sachs Callable Quarterly CMS Spread-Linked Notes (Cusip: 38141GTW4)
- First Trust Bank Structured Notes Offerings (Cusip: 40435UDJ0)
- First Trust Bank Structured Notes Offerings (Cusip: 48128F6K3)
- First Trust Bank Structured Notes Offerings (Cusip: 40434Y2Y2)
- East West Bank Callable Fixed to Floating Rate Market-Linked Certificates of Deposit (Cusip: 27579TPR5)
- East West Bank Callable Fixed to Floating Rate Market-Linked Certificates of Deposit (Cusip: 27579TPQ7)
- Deutsche Bank Callable Leveraged Steepener Notes (Cusip: 25152RYF4)
- Deutsche Bank Callable Leveraged Steepener Notes (Cusip: 25152RXF5)
- Deutsche Bank 20-Year CMS Slope Steepener Notes (Cusip: 25152RXB4)
- Deutsche Bank 20-Year CMS Slope Steepener Notes (Cusip: 25152RVD2)
- Deutsche Bank 20-Year CMS Slope Steepener Notes (Cusip: 25152RUY79)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T3AZ6)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T3AX1)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T3AV5)
- Nomura America Finance Callable LeveragedSteepener Notes CUSIP: 65539ABE9
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T3AU7)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986HV6)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 17298CCL0)
- Citigroup Final Disclosure Supplement (Cusip: 172986HT1)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 17298CAR9)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986HR5)
- Natixis Callable Capped CMS Steepener Notes CUSIP: 63873HLX0
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T07K9)
- Natixis Callable Capped CMS Steepener Notes CUSIP: 63873HME1
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986HK0)
- Natixis Callable Capped CMS Steepener Notes CUSIP: 63873HKA1
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T03W7)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T02V0)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986HF1)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986HD6)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T0X46)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T0R50)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T0L31)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986HB0)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986HA2)
- Citigroup Medium-Term Senior Notes, Series G (Cusip: 1730T0G78)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986GZ8)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986GW5)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986GV7)
- Citigroup Medium-Term Senior Notes, Series H (Cusip: 1730T0VD8)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986GQ8)
- Citigroup Medium-Term Senior Notes, Series H (Cusip: 1730T0TT6)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986GH8)
- Citigroup Medium-Term Senior Notes, Series H (Cusip: 1730T0TK5)
- Citigroup Medium-Term Senior Notes, Series H (Cusip: 1730T0SM2)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986FH9)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986FH9)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986CY5)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986CY5)
- Morgan Stanley’s Opportunities in International Equities CUSIP: 61768CJ81
- Morgan Stanley’s Opportunities in International Equities CUSIP: 61768CZU4
- Morgan Stanley’s Opportunities in International Equities CUSIP: 61768CXL6
- Morgan Stanley Fixed to Floating Rate Securities CUSIP: 61760QJF2
- Morgan Stanley Fixed to Floating Rate Securities CUSIP: 61760QGC2
- Morgan Stanley’s Fixed to Floating Rate Securities CUSIP: 61760QGD0
- Morgan Stanley’s Fixed to Floating Rate Securities CUSIP: 61760QFX7
- Morgan Stanley’s Floating Rate Securities CUSIP: 61760QFV1
- Morgan Stanley’s Fixed to Floating Rate Securities CUSIP: 61760QFU3
- Morgan Stanley’s Floating Rate Securities CUSIP: 61760QFR0
- Morgan Stanley’s Fixed to Floating Rate Securities CUSIP: 61760QFJ8
- Morgan Stanley’s Fixed to Floating Rate Notes CUSIP: 61760QDB7
- Morgan Stanley’s Fixed to Floating Rate Notes CUSIP: 61760QCY8
- Morgan Stanley’s Fixed to Floating Rate Notes CUSIP: 61760QCW2
- Morgan Stanley’s Senior Fixed to Floating Rate Notes CUSIP: 61745ER78
- Morgan Stanley’s Senior Fixed/Floating Rate Notes CUSIP: 61745EF71
- Morgan Stanley Senior Floating Rate Notes CUSIP: 61745E6J5
- Morgan Stanley Senior Floating Rate Notes CUSIP: 61745E2W0
- Morgan Stanley Senior Floating Rate Notes CUSIP: 61745EX48
- Morgan Stanley Senior Floating Rate Notes CUSIP: 61745ES85
- Morgan Stanley’s Senior Fixed Rate Step-Up Callable Notes CUSIP: 61745EP21
- Morgan Stanley Senior Floating Rate Notes CUSIP: 61745EL82
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986CM1)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986CK5)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986CK5)
- Citigroup Market-Linked Certificates of Deposit (Cusip: 1730T0KV0)
- Morgan Stanley Senior Floating Rate Notes CUSIP: 61745EH20
- Citigroup Market-Linked Certificates of Deposit (Cusip: 172986CJ8)
- Lloyds Banking Group plc Senior Callable CMS Steepener Notes CUSIP: 5394E8CE7
- Lloyds Senior Callable Capped CMS Steepener Notes CUSIP: 5394E8CC1
- Lloyds Banking Group plc Senior Callable Steepener Notes CUSIP: 5394E8BK4
- Citigroup Callable Leveraged CMS Spread Notes (Cusip: 1730T0KD0)
- Lloyds Banking Group plc Senior Callable CMS Steepener Notes CUSIP: 5394E8AN9
- Citigroup Pricing Supplement NO. 2010 (Cusip: 1730T0JNO)
- Citigroup Callable Leveraged CMS Spread Principal Protected Notes (Cusip: 1730T0HL6)
- BNP Paribas Bank New Issues Preliminary Prospectus (Cusip: 05574LHU5)
- Barclays Bank Structured New Issues Preliminary Term Sheet (Cusip: 06741UJW5)
- Barclays Bank Structured New Issues Preliminary Term Sheet (Cusip: 06741UGX6)
- Barclays Bank Structured New Issues Preliminary Pricing Supplement (Cusip: 06741UFM1)
- Barclays Bank Callable Leveraged Steepener Notes (Cusip: 06741UBK9)
- Barclays Bank Callable Leveraged Steepener Notes (Cusip: 06741TVK0)
- Barclays Bank Capped Callable CMS Steepener Notes (Cusip: 06741TSE8)
- Barclays Bank $5,000,000 CMS Steepener Certificates of Deposit (Cusip: 06740ART8)
- Barclays Bank Principal-Protected Linked Certificates of Deposit (Cusip: 06740ART8)
- Barclays Bank CMS Steepener Certificates of Deposit (Cusip: 06740ART8)
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06738KWX52)
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06738KVE8)
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125YUX0
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06738KTB7)
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125YPG3
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06738KQS3)
- J.P. Morgan Certificates of Deposit Linked to the J.P. Morgan Efficiente Plus DS 5 Index CUSIP: 48125YFM1
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125T7L3
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125YHW7
- J.P. Morgan Certificates of Deposit Linked to the J.P. Morgan Efficiente Plus DS 5 Index CUSIP: 48125YCV4
- J.P. Morgan Certificates of Deposit Linked to the J.P. Morgan Efficiente Plus DS 5 Index CUSIP: 48125YAF1
- J.P. Morgan Certificates of Deposit Linked to the J.P. Morgan Dorsey Wright Focus 5 Balanced Index CUSIP: 48125T4Y8
- J.P. Morgan Certificates of Deposit Linked to the JPMorgan ETF Efficiente 5 Index CUSIP: 48125T3X1
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125TC86
- J.P. Morgan Certificates of Deposit Linked to the J.P. Morgan ETF Efficiente DS 5 Index CUSIP: 48125TZD0
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125TXX8
- J.P. Morgan Callable Interest Rate Spread CDs due August CUSIP: 48125TVV4
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125TRP2
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125TPG4
- J.P. Morgan Certificates of Deposit Linked to the JPMorgan ETF Efficiente 5 Index CUSIP: 48125TNE1
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125TNA9
- J.P. Morgan Certificates of Deposit Linked to the JPMorgan ETF Efficiente 5 Index CUSIP: 48125TKX2
- J.P. Morgan Callable Interest Rate Spread Notes CUSIP: 48126N5V5
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125TKA2
- J.P. Morgan Certificates of Deposit Linked to the S&P 500 CUSIP: 48125TGW9
- J.P. Morgan Certificates of Deposit Linked to the JPMorgan ETF Efficiente 5 Index CUSIP: 48125THT5
- J.P. Morgan Certificates of Deposit Linked to the S&P 500 CUSIP: 48125TFA8
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06738KMX6)
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06738KFQ9)
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06738CM1)
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06740PZ33)
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06740PV29)
- Barclays Bank Global Medium-Term Notes, Series A
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06740PC38)
- Barclays Bank Global Medium-Term Notes, Series A (Cusip: 06740PEV4)
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06740PEV4)
- Barclays Bank Callable CMS Steepener Notes (Cusip: 06740LEM3)
- Barclays Bank Global Medium-Term Notes, Series A (Cusip: 06740LEM3)
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125TGJ8
- Bank of Nova Scotia’s Callable Steepener Notes, Series A (Cusip: 064159CP9)
- J.P. Morgan’s Callable Interest Rate Spread CDs CUSIP: 48125TBD6
- J.P. Morgan Callable Interest Rate Spread CDs CUSIP: 48125TAN5
- J.P. Morgan’s $12,570,000 Callable Interest Rate Spread CDs CUSIP: 48124JN53
- J.P. Morgan’s $6,000,000 Interest Rate Spread CDs CUSIP: 48124JN53
- J.P. Morgan’s Fixed to Floating Rate Callable Range Accrual Certificates of Deposit CUSIP: 48126XRJ6
- J.P. Morgan’s Capped Certificates of Deposit Linked to the S&P 500 Index CUSIP: 48128FW65
- J.P. Morgan’s 7yr Capped S&P 500® Index CD CUSIP: 48128FW65
- HSBC USA Inc. Leveraged Steepener Notes CUSIP: 4042K1TZ6
- HSBC’s $1,342,000 Leveraged Buffered Uncapped Market Participation Securities CUSIP: 40435FGH4
- HSBC’s Leveraged Buffered Uncapped Market Participation Securities CUSIP: 40435FUB1
- HSBC’s Buffered Accelerated Market Participation Securities CUSIP: 40435FUA3
- Bank of America’s 20-Year Capped Notes (Cusip: 06048WPN4)
- Bank of America’s 20-Year Capped Notes (Cusip: 06048WPJ3)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WKU3)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WKG4)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WJH4)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WJA9)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WHN3)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WHF0)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WGG9)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WGC8)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WEJ5)
- Bank of America’s Market Participation Certificates of Deposit (Cusip: 06051VTX4)
- Bank of America’s 20-Year Callable Capped Notes (Cusip: 06048WCY4)
- Bank of America’s Market Participation Certificates of Deposit (Cusip: 06051VTG1)
- Bank of America’s Market Participation Certificates of Deposit (CUSIP: 06048wcp3)
- Bank of America’s 20-Year Callable Capped Notes
- Category: Uncategorized
