- Free Consultation: (855) 430-4010
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Updated:
Whistleblower Award Alert: The SEC Awards $36 Million to Whistleblower
:
Updated:
Robert Nyilas, Formerly with Advisory Group Equity Services, BARRED by FINRA – Westport, CT
:
Updated:
Ronald Daley, Formerly with W&S Brokerage Services, Inc., BARRED by FINRA – West Chester, OH
:
Updated:
William Michero, Formerly with Cambridge Investment Research, Inc., BARRED by FINRA – Fort Worth, TX
:
Updated:
Two More Wins for UBS Yield Enhancement Strategy (YES) Customers, Fourth and Fifth Awards in 2021
:
Updated:
The SEC Has Awarded Over $1 Billion to Whistleblowers
:
Updated:
GPB Automotive Portfolio, LP to Sell Prime Automotive for $880 Million, Which Generated $1.8 Billion in Annual Revenue in 2020; GPB Automotive’ s Future Remains Uncertain
:
Updated:
Adam Gerard Belardino, Formerly with MML Investors Services, LLC, BARRED by FINRA – Elmsford, NY
:
Updated:
Santander Investment Securities Inc. Sanctioned by FINRA for Publishing and Distributing Inaccurate and Incomplete Research Reports to Institutional Investors
:
Updated:
Scott Madison, Formerly with Merrill Lynch, BARRED by FINRA – Riverhead, NY
:
Updated:
Jeffrey Travis Drost, Formerly with Raymond James, BARRED by FINRA – Victoria, TX
:
Updated:
Dale Allen Ramsperger, Formerly with Securities America, Inc., Suspended by FINRA – Scottsdale, AZ
:
Updated:
Deutsche Bank Securities Broker Garrett Neubart Suspended by FINRA – New York, NY
:
Updated:
Joffre Salazar, Formerly with LPL Financial LLC, Suspended by FINRA – Staten Island, NY
:
Updated:
David Van Geffen, Formerly with Raymond James, Suspended by FINRA – Lafayette, LA
:
Updated:
Primary Capital, LLC Fined $50,000 by FINRA Over EB-5 Business – Miami, FL
:
Updated:
SW Financial Broker, Joseph Lianzo, Suspended by FINRA for Excessively Trading Customers’ Accounts and Placing Unauthorized Trades
:
Updated:
Did Robinhood Employees Trade GameStop and AMC Before Robinhood’s Public Announcement to Restrict Trading on January 28, 2021?
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Updated:
Robinhood’s Amended Registration Statement Discloses That Robinhood Is Facing Numerous Lawsuits, Customer Arbitrations, and Regulatory Investigations
:
Updated:
Whistleblower Awards Alert: The SEC Awards $2.6 Million to Four Whistleblowers
:
Updated:
Former Worden Capital Management LLC Broker, Donald Fowler, BARRED by FINRA for Churning and Excessively Trading Four Customers’ Accounts
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Updated:
SEC Charges John Woods of Southport Capital With Operating $110 Million Ponzi Scheme By Selling Units of Horizon Private Equity, III, LLC
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Updated:
Another Win for UBS Yield Enhancement Strategy (YES) Customers, Third Award in 2021
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Updated:
GPB Automotive Portfolio, LP to Sell Prime Automotive as Its Future Remains Uncertain; Investors Encouraged to Act Now
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Updated:
Former National Securities Corporation Broker, William Wright, Barred by FINRA – New York, NY
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Updated:
Debasish Hajra, Formerly of Wells Fargo, Suspended by FINRA – Marietta, Georgia
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Two Former Woodstock Financial Group, Inc. Brokers Suspended by FINRA for Unsuitable Trades
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Updated:
Energy 11, L.P., a Limited Partnership Sold Exclusively by David Lerner Associates, Inc., Not Likely to Resume Distributions to Investors Anytime Soon
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GPB Capital Investor Recovers Full Investment Through FINRA Arbitration Award
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Updated:
Jason Seale of American Wealth Management, Inc. Suspended by FINRA – Novato, California
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Updated:
Former Worden Capital Management LLC Broker, John Cangialosi, Suspended by FINRA for Excessively Trading 3 Accounts
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Updated:
World Choice Securities Broker, Thomas Stratton, Barred by FINRA – Melbourne, Florida
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Updated:
Former Worden Capital Management LLC Principal, Henry Bones II, Suspended by FINRA – New York, NY
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Updated:
Iorio Altamirano LLP Investigates American Capital Partners, LLC Over GPB Capital Funds
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Updated:
Walter Morrow Allen, Formerly with Cetera Advisors LLC, BARRED by FINRA – Suffield, CT
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Updated:
FINRA Arbitration Award: San Francisco Financial Advisor Amy Blodgett and Firm Ameritas Advisory Services Ordered to Pay $20,000 to Customers
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Updated:
Oppenheimer Broker Cesar Hurtado Suspended by FINRA – Miami, FL
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Updated:
Former Joseph Stone Capital L.L.C. Broker, Eugene McAdams, BARRED by FINRA
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Whistleblower Awards: The SEC Awards $9.5 Million to Six Whistleblowers In Less Than a Week
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Updated:
FINRA Arbitration Award: Boca Raton Financial Advisor William Friedman Ordered to Pay $250,000
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FINRA Files Enforcement Action Against Aegis Capital Broker Daniel O’Neill – Melville, New York
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Updated:
Jeffrey Scott Anderson, Former NYLife Securities LLC Broker, Barred by FINRA – Bloomington, IL
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Whistleblower Award Alert: The SEC Awards In Excess of $4 Million to Four Whistleblowers
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Updated:
Aegis Capital Broker Gilbert Kuta Suspended by FINRA – Timonium, MD
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Updated:
Iorio Altamirano LLP Investigates L Bonds offered by GWG Holdings (GWGH)
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Updated:
Former Fusion Analytics Securities, LLC Chief Compliance Officer Suspended by FINRA – Ft. Lauderdale, FL
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Updated:
Former LPL Financial LLC Broker Jason LaBelle Barred by FINRA – Pittsfield, MA
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Updated:
Former Valic Financial Advisors, Inc. Broker, Enoch Booth, BARRED by FINRA – Columbia, South Carolina
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Whistleblower Award Alert: The SEC Awards Nearly $3 Million to Whistleblower
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Updated:
StockCross Financial Services, Inc. (now Muriel Siebert & Co., Inc.) Sanctioned by FINRA for Failing to Properly Supervise Solicited Transactions for Excessive Trading
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UBS Settles with SEC Over Unsuitable VXX Investments
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Updated:
The SEC Announces $1 Million to Whistleblower Award, Bringing 2021 Total to Over $200 Million
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Updated:
Laidlaw & Company (UK) Ltd. Fined $1.5 million by FINRA – New York, NY
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Updated:
NEXT Financial Group, Inc. Fined by FINRA – Houston, TX
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Updated:
Another Aegis Capital Corp. Broker (Douglas Szempruch) Suspended for Excessive Trading and Unauthorized Trading
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Update: Former Aegis Capital Corp Broker, Kishan (Sean) Parikh, SUSPENDED by FINRA for Excessive Trading and Unauthorized Trading
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GWN Securities Broker, Ronald Giovino, Barred by FINRA – Clearwater, Florida
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Updated:
Popular Securities, LLC Broker Fernando Luis Monllor Suspended by FINRA – Ponce, PR
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Updated:
Iorio Altamirano LLP Investigates Sanctuary Securities, Inc. (Formerly David A. Noyes & Company) Over Inverse and Leveraged Exchange-Traded Funds Supervisory Failures
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Updated:
SagePoint Financial Broker, Gary Bowman, Suspended by FINRA for Short-Term Trading of Unit Investment Trusts in Customer Accounts
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Updated:
Former Wells Fargo Broker, Tyler Rigsbee, Barred by FINRA
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Updated:
Crown Capital Securities, L.P. Ordered to Pay $1.6 million to Settle SEC Case
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FINRA Arbitration Award: SunTrust Investment Services, Inc. and SunTrust Advisory Services, Inc. Ordered to Pay $200,000
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Updated:
Bloomington, Minnesota Financial Advisor, John Swon, Formerly of Royal Alliance Associates and Focus Financial, Barred by FINRA
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Updated:
Medford, Oregon Financial Advisor, Juan Ceja, Formerly of PFS Investments Inc, Barred by FINRA
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Updated:
Stu Pearl, Former David A. Noyes & Company Broker, Suspended for Making Unsuitable Non-Traditional ETF Investment Recommendations – Indianapolis, IN
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Updated:
Broker Daniel Jossen, Formerly with NYLIFE Securities LLC, BARRED by FINRA – Bethesda, MD
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Broker George Louis McCaffrey III, Formerly with NTB Financial Corporation, BARRED by FINRA – Englewood, CO
:
Updated:
Former Worden Capital Management LLC Broker, Christopher Orlando, BARRED by FINRA for Excessively Trading 13 Accounts
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Updated:
Takeaways from Robinhood’s IPO Filing
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Whistleblower Awards, Week of June 21 – 25, 2021
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Breaking News: Robinhood Ordered to Pay $70 Million, the Largest Financial Penalty Ever Ordered by FINRA
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Joseph Stone Capital L.L.C. Broker Suspended by FINRA
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Updated:
Broker Cesar Gabriel Hernandez, Formerly with Gentem Capital, BARRED by FINRA – Miami, FL
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Updated:
Broker Nathan Gersteen Katz, Formerly with Triad Advisors LLC, BARRED by FINRA – Largo, FL
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Updated:
Columbia, Missouri Broker, Alex Perry, Formerly of Stifel, Nicolaus & Company, Barred by FINRA
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Investor Alert: Iorio Altamirano LLP Investigates Merrill Lynch Over Unit Investment Trust (UIT) Early Rollover Practices
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Updated:
Broker Eric Burton, Formerly with LPL Financial LLC, Suspended by FINRA – Orland Park, IL
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Updated:
Spartan Capital Securities, LLC Broker Carlos Hurtado BARRED by FINRA – New York, NY
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Updated:
Farmers Financial Solutions, LLC Sanctioned by FINRA
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Updated:
Alabama Financial Advisor, Kevin McCallum, Formerly of LPL Financial, Suspended for One Year for Making Unsuitable Investment Recommendations
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Jackson, Mississippi Investor Wins Arbitration Claim Against E*Trade Securities LLC
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Broker John Braddock, Formerly with Lakeridge Capital Inc., Suspended by FINRA – Salida, CO
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Updated:
Popular Securities, LLC Broker Dennis Cummings Suspended by FINRA – Mayaguez, PR
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FINRA Files Enforcement Action Against Financial Broker Michael Giovannelli, Formerly of Spartan Capital Securities, for Unauthorized Trades in an Elderly Customer’s Account
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Former Folger Nolan Fleming Douglas Incorporated Broker, Marc Lippman, Barred by FINRA – Washington, DC
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FINRA Files Complaint Against Former Allstate Financial Services, LLC Broker Elizabeth Ann Sollars – Terre Haute, IN
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Northwestern Mutual Investment Services, LLC Broker Scott Niekamp Suspended by FINRA – Chesterfield, MO
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FINRA Files Enforcement Action Against Marc Reda of Spartan Capital Securities
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June 14, 2021: The SEC Awards $3 Million to Two Whistleblowers
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Broker Jason Howell Poff, Formerly with LPL Financial LLC, Suspended by FINRA – Houston, TX
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Updated:
Oppenheimer & Co. Inc. Fined $525,000 by FINRA – New York, NY
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Updated:
Broker Gregory Walter McCloskey, Formerly with WestPark Capital, BARRED by FINRA – Newport Beach, CA
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Broker Jimmie Darrel Summers, Formerly with Cetera Investment Services LLC, Suspended by FINRA – Tulsa, OK
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Virginia Broker, Peter Suyama Suspended by FINRA
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Updated:
Former Worden Capital Management Broker, Salvatore Pizzimenti, Barred by FINRA – New York, New York
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Broker Spotlight: Philip Connors of Worden Capital Management LLC – New York, NY
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Broker Spotlight: David Murray of Worden Capital Management LLC – New York, NY
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Investor Alert: Iorio Altamirano LLP Investigates Titan Securities Over Sale of Future Income Payments
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Updated:
Titan Securities CEO and Owner Brad Brooks Suspended for One Year
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Updated:
Broker Louis Kreisberg, Formerly with Wavecrest Securities, LLC and Pickwick Capital Partners, LLC, BARRED by FINRA
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Updated:
Former UBS Broker, Ricardo Turlan, Suspended by FINRA – San Antonio, Texas
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Former SagePoint Financial, Inc. Broker Grant Birkley BARRED by FINRA – Barrington, Illinois
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Updated:
Former SagePoint Financial, Inc. Broker Cynthia Komarek BARRED by FINRA – Barrington, Illinois
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Cadaret Grant Broker Matthew Zanowiak Suspended by FINRA – Lancaster, Pennsylvania
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Updated:
Mario Rivero, Jr., Formerly with Wells Fargo, BARRED by FINRA – Elizabeth, New Jersey
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Former Park Avenue Securities Broker Nick Palumbo, BARRED by FINRA
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Boiler Room Broker, James Flower, Barred by FINRA for Excessive Trading, Churning, Unauthorized Trading, Mismarking Orders, and Targeting Elderly Investors
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The SEC Announces Awards of $13 Million and $10 Million to Two Whistleblowers
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Investor Alert: FINRA Files Enforcement Action Against Broker-Dealer NYPPEX, LLC, and Two Executives Alleging They Made Material Misrepresentations And Omissions to Prospective Investors of NYPPEX Holdings
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Broker Spotlight: Ross Barish of Joseph Stone Capital L.L.C. – Mineola, NY
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Former Oppenheimer Broker, Jeffrey Warren, Barred by FINRA – Boca Raton, Florida
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FINRA Arbitration Award: Westpark Capital, Inc. Ordered to Pay Customers Nearly $800,000 for Actions of Former Broker, Lawrence Fawcett, Including Churning and Recommending Risky Private Placements
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ONESCO Ordered to Pay Nearly $1.3 Million by FINRA – Cincinnati, Ohio
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UnionBanc Investment Services, LLC Fined by FINRA – Glendale, California
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Broker Spotlight: Robert Yasnis of Worden Capital Management LLC – New York, NY
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Broker Spotlight: Kevin Wilson of Worden Capital Management LLC – New York, NY
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Triad Advisors LLC Broker, Mark Just, Suspended by FINRA – Indianapolis, Indiana
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Pinehurst, North Carolina Broker, Mercer Hicks III, Barred by FINRA for Making Unsuitable Recommendations to Five Senior Customers
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26-year-old Truck Driver from Connecticut Files Securities Arbitration Claim Against Robinhood for Placing Trade Restrictions on certain “Meme Stocks”
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Network 1 Financial Securities Inc. Broker Carl Antaki (Formerly of First Standard Financial Company LLC) Suspended by FINRA for Excessive and Unsuitable Trading
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Bronx Broker, Matthew Siliato, Formerly of Wynston Hill Capital, LLC, Barred by FINRA
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Updated:
Calton & Associates, Inc. Sanctioned by FINRA Over Non-Traditional and Volatility-Linked Exchange Traded Products
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Broker Spotlight: Martin Lerner of David Lerner Associates, Inc. Facing Pending Securities Arbitration Complaint Related to Energy 12 and SOAEX – Boca Raton, Florida
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$28 Million Awarded to Whistleblower by SEC
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Brokers International Financial Services, LLC and Broker Mark Perry Ordered to Pay $795,959 to Widow by a FINRA Arbitration Panel
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GPB Automotive Portfolio, LP’s Latest Public Filing Raises Doubts That the Business Will Survive; Investors Should Contact an Attorney to Review Legal Rights
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Orchard Securities Broker Alma Edwards Faerber Facing $1 Million Customer Claim
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Broker Jason Lynn DiPaola Investigated by FINRA – New York, NY
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Former Wells Fargo Broker Gary Len Wells Suspended by FINRA – Tacoma, WA
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Former Morgan Stanley Broker in Miami, Candido Viyella, BARRED by FINRA
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Former LPL Financial LLC Broker John Simmons BARRED by FINRA – Gulf Breeze, FL
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Updated:
Former Securities America, Inc. Broker, Bill Dixon, BARRED from the Securities Industry by FINRA – Urbana, Ohio
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Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida
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Updated:
FINRA Files Enforcement Action Against Broker Adam Belardino, Formerly of MML Investors Services, LLC – Westchester County, New York
:
Updated:
Investigative Report: Worden Capital Management LLC’s Owners, Executives, and Brokers Have Concerning Red Flag Disclosures
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SEC Awards $3.6 Million to Whistleblower; The SEC Has Awarded Over $104 Million Whistleblowers in 2021
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How to Recover Investment Losses: Frequently Asked Questions
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SEC Awards $22 Million to Two Whistleblowers Whose Information Resulted in Successful SEC Enforcement Actions Against A Financial Services Firm
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Retail Investors Fight Back Against Robinhood for Its January 28, 2021, Trading Restrictions on “Meme Stocks,” Such as GameStop, AMC, Koss Corporation, and Express, Inc.
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Updated:
Iorio Altamirano LLP Investigates AEON Capital Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Pariter Securities, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Cabot Lodge Securities LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Calton & Associates, Inc. Over GPB Funds
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Updated:
Iorio Altamirano LLP Investigates Capital Investment Group, Inc. Over GPB Funds
:
Updated:
Dempsey Lord Smith Broker Raymond Sun Facing $1.2 Million Customer Claim
:
Updated:
International Assets Broker Ronald Patrick Cameron Suspended by FINRA – Fayetteville, AR
:
Updated:
Former RBC Capital Markets Broker Scott Fergang Suspended by FINRA – Paramus, New Jersey
:
Updated:
Cadaret Grant Broker Paul Spero Suspended by FINRA – Liverpool, New York
:
Updated:
Crown Capital Securities, L.P. Broker Kevin Barton Suspended by FINRA – Vista, California
:
Updated:
Kayan Securities, Inc. Broker Sun Hyung Kim BARRED by FINRA – Los Angeles, California
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Updated:
Former Morgan Stanley Broker, Constantinos Maniatis, Suspended by FINRA – Dallas, Texas
:
Updated:
Another Joseph Stone Capital L.L.C. Broker in Trouble with Regulators: Financial Advisor David Martirosian BARRED by FINRA – New York
:
Updated:
Iorio Altamirano LLP Investigates Geneos Wealth Management, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Crystal Bay Securities, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Emerson Equity LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Arkadios Capital Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Avere Financial Group, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Financial West Group Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Ausdal Financial Partners, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates IBN Financial Services, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates BCG Securities, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Lion Street Financial, LLC Over GPB Funds
:
Updated:
Tampa Broker, Fred Rock, Formerly of Pruco Securities LLC, Suspended by FINRA
:
Updated:
Iorio Altamirano LLP Investigates Sandlapper Securities, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates National Securities Corporation Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Wilmington Capital Securities, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Vanderbilt Securities, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates United Planners Financial Services Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Orchard Securities, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Stephen A. Kohn & Associates, Ltd. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Vestech Securities, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates DFPG Investments, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates David A. Noyes & Company Over GPB Funds
:
Updated:
Independent Financial Group, LLC Fined by FINRA Over Supervisory Violations
:
Updated:
Former LPL Financial LLC Broker John Scott BARRED by FINRA – Phoenix, Arizona
:
Updated:
Former LPL Financial LLC Broker Elias Hakimian, Suspended by FINRA – Costa Mesa, California
:
Updated:
Iorio Altamirano LLP Investigates HighTower Securities, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Private Client Services, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Innovation Partners, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Kingsbury Capital, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Detalus Securities, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Cascade Financial Management, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Capital Financial Services, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates DH Hill Securities, LLLP Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates International Assets Advisory, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Western International Securities, Inc. Over GPB Funds
:
Updated:
FINRA Files Enforcement Action Against Former Joseph Stone Capital, LLC. Broker Abdul Rahmani
:
Updated:
Former Financial Advisor Michael Dellaporta, Jr. BARRED From the Securities Industry by FINRA – Fort Lauderdale, Florida
:
Updated:
FINRA Files Enforcement Action Against Hugues Guirand, Formerly of Woodstock Financial Group, Inc. – Virginia Beach, VA
:
Updated:
Former IFS Securities Broker, Steven Schisler, Facing Disciplinary Charges by FINRA for Numerous Alleged Misconduct, Including Unsuitable Investment Recommendations to An Elderly Couple
:
Updated:
Iorio Altamirano LLP is Investigating MSC – BD, LLC and Broker Robert Fehrman For Recommending GPB Capital Holdings to Customers
:
Updated:
Investigation: Former Axiom Capital Management, Inc Broker, Michael Packman, Reportedly Recommended GPB Capital Holdings to Customers
:
Updated:
Iorio Altamirano LLP Investigates Moloney Securities Co., Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Investment Architects, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Landolt Securities, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Lowell & Company, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Great Point Capital LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates WestPark Capital, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Dinosaur Financial Group, L.L.C. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Dempsey Lord Smith, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates MSC – BD, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates McDonald Partners LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Royal Alliance Associates, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Kalos Capital, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Purshe Kaplan Sterling Investments Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates SagePoint Financial, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Money Concepts Capital Corp Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Silber Bennett Financial, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Uhlmann Price Securities, LLC Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Woodbury Financial Services, Inc. Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Newbridge Securities Corporation Over GPB Funds
:
Updated:
Iorio Altamirano LLP Investigates Whitehall-Parker Securities, Inc. Over GPB Funds
:
Updated:
Investigation: Former MML Investor Services, LLC Broker, Oscar Francis, Reportedly Recommended GPB Capital Holdings to Customers – Fort Lauderdale, Florida
:
Updated:
Scottsdale, Arizona Broker Kevin Canterbury Facing Three Pending Customer Disputes
:
Updated:
SEC Awards $2.5 Million to Whistleblower, as Chief of the SEC’s Office of the Whistleblower Announces Impending Departure
:
Updated:
Broker Hebert Frey Suspended by FINRA After Excessively Trading and Placing Unauthorized Trades in The Account of a Disabled Client – Mount Vernon, Ohio
:
Updated:
Burlington, Vermont Financial Advisor Louis Olave Suspended by FINRA
:
Updated:
Broker Matthew Crafa Facing Three Pending Customer Disputes Related to GPB Capital Funds
:
Updated:
Joseph Ambrosole, a Joseph Stone Capital L.L.C. Broker, Suspended by FINRA
:
Updated:
Dawson James Securities, Inc. Sanctioned by FINRA for Charging Customers Excessive Commissions
:
Updated:
Broker Frank Sapareto, Formerly of Advisory Group Equity Services, Investigated by FINRA
:
Updated:
Rhode Island Broker Keith Holcomb, Formerly of Cambridge Investment Research and MML Investors Services, Suspended by FINRA
:
Updated:
Former Insigneo Broker Ignacio Erhart Del Campo Suspended by FINRA – Miami, FL
:
Updated:
Hutchinson Island, Florida Broker, Gregory Mancuso, Formerly of Crowdvest Securities LLC, BARRED by FINRA
:
Updated:
Moloney Securities Broker Candice Montie Suspended by FINRA – Fenton, MI
:
Updated:
Another Win for UBS Yield Enhancement Strategy (YES) Customers, Second Award in March 2021
:
Updated:
FINRA Sanctions Securities America, Inc. For Failing to Supervise the Sale of the LJM Preservation and Growth Fund
:
Updated:
FINRA Sanctions J.W. Cole Financial, Inc. For Failing to Supervise the Sale of the LJM Preservation and Growth Fund
:
Updated:
FINRA Sanctions Cambridge Investment Research, Inc. For Failing to Supervise the Sale of the LJM Preservation and Growth Fund
:
Updated:
St. Augustine, Florida Financial Advisor Charles Thomas Stevens, Formerly of D.H. Hill Securities, LLP, BARRED by FINRA
:
Updated:
Lake Forest, Illinois Financial Advisor Victor A. Rigoni, III, Formerly of Summit Brokerage Services, Inc., Suspended by FINRA
:
Updated:
SEC Awards Over $500,000 to Whistleblower, the 40th Individual to Receive an Award This Past Year
:
Updated:
Broker, Jeremy Johnson, Formerly of Torch Securities, LLC, BARRED by FINRA – Murrieta, CA
:
Updated:
Former RBC Capital Markets Broker Jeffrey Fladell Suspended by FINRA – Florham Park, NJ
:
Updated:
Cantor Fitzgerald & Co. Trader, Riaz Haidri, Suspended for Disclosing a Customer’s Confidential Trading Strategy to Another Customer
:
Updated:
Another Day, Another Disciplinary Action Against Aegis Capital Corp.
:
Updated:
Santa Barbara Financial Advisor, Mark Delgadillo, Formerly of D.A. Davidson & Co., Suspended by FINRA
:
Updated:
West Des Moines, Iowa Broker, John O’Bannon, Formerly of Edward Jones, Suspended by FINRA
:
Updated:
Broker Chad Mackland, Who Is Facing Felony Criminal Charges, BARRED by FINRA
:
Updated:
Western International Securities Compliance Officer BARRED by FINRA – Pasadena, CA
:
Updated:
Buckman, Buckman and Reid Broker Allan Katz Suspended by FINRA – Staten Island, NY
:
Updated:
Trevor Rahn, Former J.P. Morgan Securities Broker, Suspended for Unauthorized Trades, Unsuitable Recommendations, and Mismarked Orders – Los Angeles, CA
:
Updated:
FMN Capital Broker Jeffrey Stanga Suspended by FINRA – Mission Viejo, CA
:
Updated:
Former Purshe Kaplan Sterling Broker Tonya Nicole Smoake Suspended by FINRA – New York, NY
:
Updated:
Former Aegis Capital Broker Edmund Zack Suspended by FINRA – New York, NY
:
Updated:
Former Aegis Capital Corp Broker, Kishan (Sean) Parikh, Facing Disciplinary Charges by FINRA for Unsuitable Investment Recommendations and Excessive Trading
:
Updated:
UBS Ordered to Pay $1 million to Yield Enhancement Strategy (YES) Customers
:
Updated:
Investigative Report: Iorio Altamirano LLP Investigation into Joseph Stone Capital L.L.C. Reveals Troubling Pasts for Owners, Executives, and Brokers
:
Updated:
Iorio Altamirano LLP Investigates Cambridge Investment Research, Inc. Over Sale of LJM Preservation and Growth Fund
:
Updated:
Former Ameriprise Financial Services Broker, Clyde Jensen, Facing Disciplinary Charges by FINRA
:
Updated:
Aegis Capital Fined and Censured by FINRA
:
Updated:
Former Kestra Investment Services, LLC Broker, Mayur Dalal, BARRED by FINRA – New Hyde Park, NY
:
Updated:
Stockbroker George Warner BARRED by FINRA
:
Updated:
Investor Alert: Attention Credit Suisse VelocityShares™ ETN Investors
:
Updated:
Former JP Morgan Broker Avi Schottenstein Accused of Abuse of Fiduciary Duty and Misrepresentations – FINRA
:
Updated:
Former JP Morgan Broker Evan Schottenstein Accused of Abuse of Fiduciary Duty and Misrepresentations – FINRA
:
Updated:
The SEC Has Awarded Approximately $1.5 Million to Whistleblower, Bringing the Whistleblower Program’s Total to Over $759 Million
:
Updated:
Former Broker Ryan Tarjanyi Barred by FINRA – Kettering, OH
:
Updated:
Former Broker Lang Phu Nguyen Suspended by FINRA for Exercising Discretion in Customer Accounts without Prior Written Authorization – Campton Hills, IL
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Update: Broker Scott Reed, Formerly of Wells Fargo in Scottsdale, Arizona, Appears to Have a History of Recommending High Risk and High Commission Investments to Customers
:
Updated:
Palm City, Florida Financial Advisor, Richard Shelley, Formerly of Packerland Brokerage Services, Inc., Suspended by FINRA
:
Updated:
INVESTOR ALERT: ATTENTION CREDIT SUISSE-GREENSILL FUND INVESTORS
:
Updated:
How to Recover Puerto Rico Bond Losses From David Lerner Associates, Inc.
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Updated:
Rodgers, Arkansas Financial Advisor Rhett Bedwell BARRED by FINRA
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Updated:
INVESTOR ALERT: ATTENTION AIRBORNE WIRELESS NETWORK (ABWN) STOCKHOLDERS
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Updated:
Broker Megurditch Mike Patatian, Formerly of Western International Securities, Inc. Facing Disciplinary Charges by FINRA for Recommending Unsuitable Illiquid REITs to 59 Customers, Including 21 Elderly Customers – Westlake Village, California
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Updated:
Great Nation Investment Corporation President and CEO, Bryon Pat Treat, BARRED by FINRA – Amarillo, Texas
:
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Former LPL Financial Broker Bradley Allen Goodbred BARRED by FINRA – Roselle, IL
:
Updated:
Broker Ricky Alan Mantei Suspended by FINRA For Violating Firm Prearranged Trading Prohibitions – Lexington, SC
:
Updated:
Broker Spotlight: Daniel T. Lerner of David Lerner Associates, Inc. Facing Three Pending Securities Arbitration Complaints – White Plains, New York
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Updated:
Moab, Utah Financial Advisor Scott Hansen, Formerly of LPL Financial LLC, Suspended by FINRA
:
Updated:
Former Woodrock Securities, L.P. and Campfire Capital Broker, Sean McDevitt, Suspended by FINRA
:
Updated:
Financial Advisors in Morgan Stanley’s Global Sports and Entertainment Group Have Been the Subject of Six Customer Disputes Over the Past Year
:
Updated:
Former NBA Players Chandler Parsons and Courtney Lee Reportedly File a $5 Million Securities Arbitration Claim Against Morgan Stanley and Broker Darryl Cohen
:
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Former Broker James Alan Schumaker Suspended by FINRA Over Dealings with Barred Registered Representative – Lafayette, IN
:
Updated:
Former Broker Stewart Schram Suspended by FINRA Over Outside Business Activities and Private Securities Transactions – Northbrook, IL
:
Updated:
Iorio Altamirano LLP Files Securities Arbitration Claim Against David Lerner Associates, Inc. Related to Unsuitable Recommendations Made by President and CEO Martin Walcoe
:
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Investor Alert: Iorio Altamirano LLP Investigates The GMS Group LLC Over Fair Pricing and Supervisory Violations
:
Updated:
Former Wells Fargo Broker in Scottsdale, Arizona, Scott Reed, Barred by FINRA
:
Updated:
Network 1 Financial Securities Inc. Fined $25,000 by FINRA Over Best Execution Rule Violations – Red Bank, New Jersey
:
Updated:
At Least Twenty-Four Customers Have Filed Securities Arbitration Complaints Against Robinhood Financial, LLC
:
Updated:
Charleston, SC Financial Advisor Paul Halvorson, Formerly of Morgan Stanley, BARRED by FINRA
:
Updated:
Former Transamerica Financial Advisors Wenru Liang and Jenny Xinfang Feng Suspended by FINRA – Columbia, MD
:
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Broker Spotlight: Michael Hernandez of Arive Capital Markets – Brooklyn, New York
:
Updated:
Arive Capital Markets Broker, Mirsad Muharemovic, Accused of Churning, Excessive Trading, and High-Pressure Sales Tactics
:
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Broker Spotlight: Daniel Silverstein of Arive Capital Markets – Miami, Florida
:
Updated:
J.H. Darbie & Co., Inc. Fined $25,000 by FINRA Over Best Execution Rule Violations
:
Updated:
Investor Alert: Iorio Altamirano LLP Investigates Triad Advisors LLC Over Supervisory Violations Related to Mutual Funds Trading and Variable Annuity Exchanges
:
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Investigative Report: Iorio Altamirano LLP Investigation into Arive Capital Markets Reveals Troubling Pasts for Owners, Executives, and Brokers
:
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Former David Lerner Associates Financial Advisor, Charles Bonilla, Suspended by FINRA for Unsuitable Energy-Sector Securities – Boca Raton, FL
:
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Key Investor Issues Outlined in FINRA 2021 Exam Priorities – Part Two
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Portland Financial Advisor, Lisa Brumm, Suspended by FINRA for Unsuitable Variable Annuity Recommendations, Borrowing from a Client, and Negligent Misrepresentation
:
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Arive Capital Markets Broker, Joseph Fuller, Accused of Churning and Unauthorized Trading
:
Updated:
Somersworth, NH Financial Advisor Michael Francoeur, Formerly of Cambridge Investment Research, Inc, BARRED by FINRA
:
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Arive Capital Markets Broker, Lon Faccini, Facing Two Pending Disputes Alleging Excessive Trading, Churning, Misrepresentation, and Unsuitability
:
Updated:
Former J.P. Morgan Securities Broker Jasmit Singh SUSPENDED by FINRA – New York, NY
:
Updated:
Key Investor Issues Outlined in FINRA 2021 Exam Priorities – Part One
:
Updated:
Columbus, Ohio Financial Advisor Lisa Stevenson, Formerly of The Huntington Investment Company, BARRED by FINRA
:
Updated:
Investor Alert: Iorio Altamirano LLP Continues to Investigate Robinhood, Webull, T.D. Ameritrade, Interactive Brokers, Charles Schwab, and Other Brokerage Firms for Market Manipulation and Breach of Contract
:
Updated:
Arive Capital Markets’ Roy Failla Suspended by New Jersey for Engaging in Dishonest and Unethical Practices in the Securities Business, Including Excessive Trading
:
Updated:
Investor Alert: Iorio Altamirano LLP Investigates Robinhood, T.D. Ameritrade, Charles Schwab, and Other Brokerage Firms for Market Manipulation
:
Updated:
Former Broker Michael August Pellegrino SUSPENDED by FINRA
:
Updated:
Former Merrill Lynch Broker in Atlanta, Tyler Delahunt, BARRED by FINRA
:
Updated:
Amarillo, Texas Financial Advisor David A. Jenson BARRED by FINRA
:
Updated:
Financial Advisor Anthony Tricarico Suspended by FINRA for Excessive Trading While Employed at Aegis Capital Corp. – New York, NY
:
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After Merrill Lynch Has Paid Over $66 Million to Settle Churning Allegations Against Former Broker Charles Kenahan, FINRA Has Barred Kenahan From the Industry.
:
Updated:
Fort Lauderdale Financial Advisor Bryan Mazliach BARRED by FINRA For Excessive Trading and Unauthorized Trades
:
Updated:
Charlotte, North Carolina Financial Advisor Gary Wayne Hammond BARRED by FINRA
:
Updated:
Iorio Altamirano LLP Joins Congresswoman Maxine Waters in Urging the Biden Administration to Rescind Regulation Best Interest (Reg BI) and Replace it with a Uniform Fiduciary Obligation Standard.
:
Updated:
Financial Advisor Christian Lucchetto Suspended by FINRA for Excessive Trading
:
Updated:
Sparks, Nevada Financial Advisor, Javelin Mikol San Nicolas, Formerly of Edward Jones, BARRED by FINRA
:
Updated:
Steven Robert Luftschein, Formerly with Aegis Capital Corp, Barred by FINRA
:
Updated:
Berthel Fisher & Company Financial Services, Inc. Customer in Layton, Utah Filed FINRA Arbitration Complaint About REITs and BDCs
:
Updated:
Former Merrill Lynch Broker in Beverly Hills, Ryan Raskin, Barred by FINRA
:
Updated:
Boulder, Colorado Financial Advisor, Formerly of LPL Financial LLC, Suspended by FINRA
:
Updated:
Statesboro, Georgia Financial Advisor Christopher B. Black BARRED by FINRA
:
Updated:
VALIC Financial Advisors, Inc. Fined $350,000 by FINRA Over Variable Annuity Supervisory Violations
:
Updated:
Investor Alert: Iorio Altamirano LLP Investigates Morgan Stanley Over 529 Savings Plans
:
Updated:
Crown Capital Securities, L.P. Customer Filed FINRA Arbitration Complaint About Non-Traded Real Estate Investment Trusts (REITs) and Non-Traded Business Development Companies (BDCs)
:
Updated:
Jose Ramon Martinez, with Popular Securities, LLC, facing six pending customer disputes over Puerto Rico investments
:
Updated:
Former Morgan Stanley Financial Advisor John Griner Suspended by FINRA – Athens, Georgia
:
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Investor Alert: Iorio Altamirano LLP Investigates B. Riley Wealth Management Inc. Over 529 Savings Plans
:
Updated:
Springfield, IL Financial Advisor Dustin P. Shafer BARRED by FINRA After Allegedly Borrowing Money from an Elderly Customer
:
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Former Ameriprise Broker Angel Bardeche Suspended by FINRA – Cincinnati, Ohio
:
Updated:
$3.9 Million Customer Claim Involving Former LPL Financial and Ameriprise Financial Broker Maziar Monshi Filed with FINRA – Boca Raton, FL
:
Updated:
Antonio Almeida, with Worden Capital Management LLC, Suspended by FINRA
:
Updated:
Jason Collichio, with Worden Capital Management LLC, Suspended by FINRA Over Supervisory Failures
:
Updated:
New Year’s Resolutions for Investors in 2021
:
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Investor Alert: Iorio Altamirano LLP Investigates Worden Capital Management LLC Over Excessive Trading
:
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Investor Alert: Iorio Altamirano LLP Investigates Wells Fargo Over Variable Annuity Switches
:
Updated:
Former J.P. Morgan Securities and Edward Jones Broker, Paul Zakhary, Suspended for Unsuitable Annuity Switch Recommendations – Florida
:
Updated:
Jaime I. Sanchez Rivera, former First Southern, LLC Financial Advisor in Puerto Rico, Suspended by FINRA – Guaynabo, Puerto Rico
:
Updated:
Top 15 Types of Securities Leading to Customer Disputes in 2020
:
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Iorio Altamirano LLP 2020 Highlights
:
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UBS Ordered to Pay $90,000 to Yield Enhancement Strategy Customer
:
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Former Merrill Lynch Financial Advisor, Rawad Roy Alame, Suspended by FINRA for Selling Away
:
Updated:
Hortensia Llavat, formerly with Santander Securities, facing twenty-three pending customer disputes over unsuitable Puerto Rico investments
:
Updated:
Hector Gonzalez, with Merrill Lynch, facing six pending customer disputes over unsuitable investment recommendations – Guaynabo, Puerto Rico
:
Updated:
Transamerica Financial Advisors, Inc. Sanctioned by FINRA and Ordered to Pay $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds, and 529 Plans
:
Updated:
Former LPL Financial LLC Financial Advisor, Michael Anthony Tavel, Suspended by FINRA for Selling Away, Making an Unsuitable Recommendation, and Misrepresentation – Indianapolis, IN
:
Updated:
Investor Alert: Iorio Altamirano LLP Investigates SunTrust Investment Services, Inc. Over Non-Traditional ETF Supervisory Practices
:
Updated:
Investor Alert: Iorio Altamirano LLP Investigates Former Oppenheimer Broker Frederick Levine and Oppenheimer Over Unit Investment Trust (UIT) Early Rollover Practices
:
Updated:
Investor Alert: Iorio Altamirano LLP Investigates Stifel, Nicolaus & Company Over Unit Investment Trust (UIT) Early Rollover Practices
:
Updated:
Investor Alert: Iorio Altamirano LLP Investigates SagePoint Financial, Inc. Over Unit Investment Trust (UIT) Early Rollover Practices
:
Updated:
R.F. Lafferty & Co., Inc. and Financial Advisor Jay Clint Tomlinson Sanctioned by FINRA – New York, NY
:
Updated:
Former Ameriprise and Edward Jones Broker Drew R. Mantel Suspended by FINRA for Exercising Discretion Without Written Authorization In Customers’ Accounts – Ohio
:
Updated:
Dario Suarez, with UBS Financial Services Inc. of Puerto Rico, facing twenty-three pending customer disputes over Puerto Rico investments
:
Updated:
Robert Lapetina, formerly with UBS Financial Services Inc. of Puerto Rico, facing seventeen pending customer disputes over Puerto Rico investments
:
Updated:
Miguel Pascual, formerly with UBS Financial Services Inc. of Puerto Rico, facing five pending customer disputes over Puerto Rico investments
:
Updated:
Angel Canabal, with UBS Financial Services Inc. of Puerto Rico, facing seventeen pending customer disputes over Puerto Rico investments
:
Updated:
Jose David Mendez, with UBS Financial Services Inc. of Puerto Rico, facing fifteen pending customer disputes over Puerto Rico investments
:
Updated:
Former Cadaret, Grant & Co., Inc. Financial Advisor Timothy James Pandekakes Suspended for Unsuitable Variable Annuity Recommendations – Westchester, New York
:
Updated:
Vicente Castillo, with UBS Financial Services Inc. of Puerto Rico, facing ten pending customer disputes over Puerto Rico investments
:
Updated:
Jose Crescioni, with UBS Financial Services Inc. of Puerto Rico, facing five pending customer disputes over Puerto Rico investments
:
Updated:
Xavier Aguayo, with UBS Financial Services Inc. of Puerto Rico, facing five pending customer disputes over Puerto Rico investments
:
Updated:
Ramon Almonte, with UBS Financial Services Inc. of Puerto Rico, facing 34 pending customer disputes over Puerto Rico investments
:
Updated:
Ricardo Eboli, with UBS Financial Services Inc. of Puerto Rico, facing ten pending customer disputes over Puerto Rico investments
:
Updated:
Michael Edward Magill BARRED by FINRA – Portland, Maine
:
Updated:
INVESTIGATION: Kodak Stock Investment Losses
:
Updated:
Dee Dee Brooks BARRED by FINRA – Huntington Beach, California
:
Updated:
INVESTIGATION: Long Island Resident Mark Alan Lisser Charged with Defrauding Investors
:
Updated:
Broker Timothy David O’Brien, Formerly with Feltl & Company, Suspended by FINRA – Inver Grove Heights, MN
:
Updated:
Former Stifel, Nicolaus & Company, Inc. Financial Advisor Kurt Gunter Suspended by FINRA for Short-Term Trading of Unit Investment Trusts in Customer Accounts
:
Updated:
Neemit M. Shah Suspended for Six Months for Recommending Future Income Payments, LLC – Glen Allen, Virginia
:
Updated:
Micah W. Patterson Was Suspended for One Month for Soliciting Future Income Payments, LLC – Centerville, Utah
:
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INVESTIGATION: Former Edward Jones Financial Advisor Matthew Jennings Barred by FINRA– Johnston, Iowa
:
Updated:
$1.3 Million Claim Filed Against Insigneo Securities Over Broker Felipe Henao – Miami, FL
:
Updated:
Former Merrill Lynch Broker Douglas Stopkey Suspended by FINRA for 30 Days Over Unauthorized Trading and Mismarked Orders in Senior Customer Accounts
:
Updated:
David T. Phillips Suspended for Nine Months for Future Income Payments, LLC Solicitation – Gilbert, Arizona
:
Updated:
Troy R. Baily Suspended for Recommending Future Income Payments, LLC – Omaha, Nebraska
:
Updated:
Lonna R. Dehn Ristvedt Suspended for Soliciting Customers to Buy Future Income Payments, LLC – Fargo, North Dakota
:
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John Westbrook Suspended for Future Income Payments, LLC Solicitation – Montgomery, Alabama
:
Updated:
Coastal Equities, Inc. Censured by FINRA and Ordered to Pay Over $280,000 in Restitution and Interest to Customers – Dublin, Ohio
:
Updated:
Citigroup Global Markets Inc. Fined $475,000 by FINRA for Omissions in Equity Research Reports
:
Updated:
Financial Advisor Richard Michael Wesselt BARRED by FINRA for Recommendations in Unsuitable Variable Annuity Investments to 78 Customers – Collegeville, PA
:
Updated:
Financial Advisor Lawrence Goldstein BARRED by FINRA – Nevada
:
Updated:
Oppenheimer Financial Advisor Ivan Shore (CRD# 1012943) SUSPENDED by FINRA for Short-Term Trading of Unit Investment Trusts in Customer Accounts – New York, NY
:
Updated:
Former Raymond James Financial Advisor Vonna Kay Husby (CRD# 1314070) BARRED by FINRA After Allegedly Co-Owning a Bank Account With an Elderly Customer – Fairbanks, Alaska
:
Updated:
What is an in and out trading strategy?
:
Updated:
National Securities Corporation Censured by FINRA and Fined $125,000 for Numerous Violations
:
Updated:
James Couture, Former LPL Financial Broker, BARRED by FINRA – Worcester, MA
:
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INVESTIGATION: FINRA Suspends Indiana Firm CFD Investments, Inc. for Oil and Gas Private Placement Sales to 31 Customers – Kokomo, Indiana
:
Updated:
Financial Advisor Cynthia Diane Cowden (CRD# 2054676) BARRED by FINRA for Recommending High- Risk Investments to Three Senior Customers – Lake Isabella, CA
:
Updated:
Financial Advisor Donatas B. Vildzius (CRD# 2202883) SUSPENDED for a Third Time by FINRA for Excessive Trading – Danbury, CT
:
Updated:
Broker Bryan Mazliach Investigated by FINRA For Excessive Trading in 7 Customer Accounts and Hundreds of Unauthorized Trades
:
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INVESTIGATION: Former Morgan Stanley and Westpark Capital, Inc. Financial Advisor Stephen Sloane (CRD# 1257601) Investigated by FINRA for Unsuitable Trades in 14 Customer Accounts– New York, NY
:
Updated:
Morgan Stanley Fined, Censured, And Ordered to Pay Nearly $775,000 in Restitution to Customers Over Former Broker Kevin Gunnip (CRD# 2701801)
:
Updated:
UBS Profits Double as Investors in UBS’s Yield Enhancement Strategy Suffer Losses
:
Updated:
Financial Advisor Frank Venturelli (CRD# 6403468) SUSPENDED by FINRA – New Jersey
:
Updated:
Securities Arbitration Lawyer Blog