In what insiders are calling a surprising decision, highly successful broker Craig D. Findley was fired by his firm, the U.S. arm of UBS Financial[...]
Broker Investigations
FINRA ordered Buckman, Buckman & Reid, Inc. (CRD# 23407), a New Jersey-based broker-dealer, to approximately $205,000 in restitution to several of its customers. The sanctions[...]
In filings from earlier this month, the FTC revealed that fraudster Steven Dorfman, Founder and CEO of Simple Health Plans, had tens of millions of[...]
Thomas Edward Sova (CRD# 431135) was a previously registered broker and investment advisor. From 2007 to 2018, Mr. Sova was a representative of Hornor, Townsend,[...]
Kirk James Bertsch (CRD# 4132889) is a previously registered broker. From 2000 to 2018, Mr. Bertsch worked for Farmers Financial Solutions in Spearfish, South Dakota.[...]
Michael Patrick Murphy (CRD#: 2596905) is currently a registered securities broker. Since 2003, Mr. Murphy has been employed at Columbus Advisory Group in New York,[...]
Edward Beyn (CRD#: 5406273) is a former FINRA broker. From September of 2015 to March of 2016, Mr. Beyn was a representative for Rothschild Lieberman[...]
Former broker, Eric Olin Shanks, was recently named in a lawsuit against Cuso Financial Services. The suit alleges the former broker sold fraudulent investment products.[...]
A well-known Charlotte area advisor, James “Jim” Heafner, faces SEC charges he engaged in outside business activities. His member firm, Taylor Captial Management, Inc released[...]
In January of this year, FINRA accepted a waiver signed by Gary L. Pevey. As part of the agreement, the broker consented to monetary sanctions[...]