- Free Consultation: (855) 430-4010
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David Lerner Associates Customers Seek Up to $1 Million in Damages for Energy 11, Energy 12, and Spirit of America Energy Fund (SOAEX) Investments
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Updated:
Navigating FINRA Arbitration: A Closer Look at Securities Dispute Resolution
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Updated:
GWG’s Bankruptcy Plan Goes into Effect; GWG L Bonds Canceled
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Updated:
GWG Bankruptcy Update (July 14, 2023): The Residual Value of the GWG L Bonds Remain Suspect as Beneficient Receives a Wells Notice from the SEC
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Updated:
Former GPB Capital Executive Pleads Guilty to Wire Fraud
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Updated:
Former Morgan Stanley Broker Michael R. Neill Suspended
:
Updated:
Centaurus Financial Sanctioned and Fined by Regulators for Supervisory Failures for the Second Time in Three Months
:
Updated:
Whistleblower Award Alert: The SEC Awards Record $279 Million to Whistleblower
:
Updated:
What L Bondholders Need to Know About GWG Holdings, Inc.’s Chapter 11 Plan
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GWG Bankruptcy Update (April 17, 2023): Liquidation Options Become Clearer as Recovery for Bondholders Remain Uncertain
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Updated:
Heath Goldstein and Western International Securities: Iorio Altamirano LLP Investigating the Sale of GWG L Bonds – Clark Summit, PA
:
Updated:
Roshan Perera: SEC Charges Former Aegis Capital Broker with Fraud – Long Island, NY
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Updated:
GWG Bankruptcy Update (March 14, 2023): GWG Appears to be Headed Toward Liquidation
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GWG Bankruptcy Update (February 11, 2023): GWG Proposes Liquidation in its Amended Reorganization Plan
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Updated:
Broker-Dealers Sold GWG L Bonds Using Aggressive and Misleading Marketing
:
Updated:
SEC Finds That Some Broker-Dealers Are Using Outdated, Incomplete, and Inaccurate Risk Disclosures
:
Updated:
“GWG Was a Classic Ponzi Scheme” – Official Committee of Bondholders of GWG Holdings, Inc.
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GWG Bankruptcy Update: Questions Remain as to When, or If, GWG L Bond Investors Will Receive Future Distributions
:
Updated:
Western International Securities Denies Violating Regulation Best Interest in Recommending and Selling Risky and Illiquid GWG L Bonds to Retail Investors
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FINRA Sanctions Joseph Stone Capital for Excessive Trading in Customer Accounts
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Newbridge Securities Corporation’s Customers Who Purchased GWG L Bonds Are Worried About Their Invested Capital
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Updated:
GWG Could Sell Its Portfolio of Life Insurance Policies for $610 Million, $1 Billion Less Than It Owes to GWG L Bond Investors
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Updated:
Law Firm Investigating Dempsey Lord Smith, LLC for the Sale of GWG L Bonds and GPB Capital Funds
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Updated:
Law Firm Investigating National Securities Corporation for the Sale of GWG L Bonds and GPB Capital Funds
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Updated:
Certified Financial Planner Board Suspends Western International Securities Broker Patrick Egan After SEC Charges Related to Selling GWG L Bonds
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Updated:
New York Law Firm Investigating the Sale of GWG L Bonds to Retail Investors by Great Point Capital LLC
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GWG L Bond Investor Recovers Losses After Filing a FINRA Arbitration Claim
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Updated:
Law Firm Investigating the Sale of GWG L Bonds to Retail Investors by Aegis Capital Corp
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Updated:
SEC to Seek Receivership for GPB Capital
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GWG Holdings, Inc. to be Delisted from The Nasdaq Stock Market; Law Firm Investigates Legal Claims for GWG L Bond Investors
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Law Firm Investigating the Sale of GWG L Bonds to Retail Investors by Western International Securities, Inc.
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GWG L Bond Investors Seek Recourse After GWG Holdings, Inc. Files for Chapter 11 Bankruptcy
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Updated:
GPB Investors Worried After GPB Automotive’s 10-K Annual Report Filing
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Updated:
FINRA Sanctions Geneos Wealth Management, Inc. For Sale Practice and Supervisory Failures Related to GPB Capital and LJM Preservation and Growth Fund Offerings
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Updated:
GWG Holdings, Inc. Misses Deadline to File Its 2021 Annual Report with the SEC
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Updated:
GWG L Bond Investor Update: GWG Holdings, Inc. Officially Defaults on Its Obligations to L Bond Investors – February 14, 2022
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Law Firm Iorio Altamirano LLP Investigating the Sale of GWG L Bonds by Mark Williams, Formerly of Centaurus Financial, Inc.
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Investor Alert: Law Firm Iorio Altamirano LLP Investigates the Sale of L Bonds by Centaurus Financial, Inc.
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Updated:
Law Firm Iorio Altamirano LLP Investigating the Sale of GWG L Bonds by Tony Barouti of Emerson Equity LLC
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Updated:
Investor Alert: Law Firm Iorio Altamirano LLP Investigates the Sale of L Bonds by Emerson Equity LLC
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When to Consult a Lawyer After Sustaining Investment Losses
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Investors Worried After GWG Holdings Inc.’s “L Bonds” Missed Interest Payments on January 15, 2022
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Read More About Iorio Altamirano LLP’s Historic Arbitration Award Against Robinhood For January 2021 Trading Restrictions
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Joseph Scott Audia, Formerly with Joseph Stone Capital, Suspended by FINRA – Hauppauge, NY
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Updated:
Joseph Stone Capital Broker Todd Kling Suspended by FINRA – New York, NY
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Updated:
Joseph Stone Capital Broker Adam Maggio Suspended by FINRA – Mineola, NY
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Joseph Stone Capital Broker Anthony Graziano Suspended by FINRA – New York, NY
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Updated:
Joseph Stone Capital Broker Douglas Rosenberg Suspended by FINRA – Hauppauge, NY
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Updated:
GPB Investors Encouraged to File Arbitration Claims in 2022 to Preserve Legal Rights
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Updated:
The Founder and Former CEO of GPB Capital Now Wants GPB Capital to Pay Legal Fees to Defend Him Against Criminal and Civil Fraud Charges
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Updated:
Donna Jean Hines, Formerly with Cetera Advisors LLC, BARRED by FINRA – Clarksburg, WV
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Updated:
Steven Musielski, Formerly with Cambria Capital, LLC, BARRED by FINRA – Anaheim, CA
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GPB Investors Have Won Monetary Awards in 10 of 11 Arbitration Cases This Past Year
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Investor Update: Energy 11, L.P.’s Substantial Debt and Missed Accrued Distributions Could Take Years to Pay Off
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Updated:
GPB Automotive Portfolio, LP Files 10-Q with SEC; Future Remains Uncertain for GPB Automotive Investors
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Updated:
Iorio Altamirano LLP Files GPB Automotive Claim Against Aegis Capital Corp
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Updated:
Aegis Capital Corp. Ordered to Pay Nearly $2.7 Million for Supervisory Failures Related to Rampant Excessive and Unsuitable Trading
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Broker Leonard Marzocco, Formerly of Woodstock Financial Group, Inc. and First Standard Financial LLC, Suspended by FINRA
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Updated:
Former Cambridge Investment Research, Inc. and SagePoint Financial, Inc. Broker BARRED by FINRA – Moorestown, New Jersey
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Former Joseph Stone Capital L.L.C. Broker, Michael May, Suspended for Excessive and Unsuitable Trading
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Updated:
Michael Miles Hartlett, Formerly with LPL Financial LLC, Suspended by FINRA – East Petersburg, PA
:
Updated:
Glenn Brandon, Jr., Formerly with BB&T Securities, LLC, BARRED by FINRA – Birmingham, AL
:
Updated:
Edgar Kleydman, Formerly with AXA Advisors, LLC, BARRED by FINRA – Brooklyn, NY
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Updated:
Eric Shea Hollifield, Formerly with LPL Financial LLC, BARRED by FINRA – Dacula, GA
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SEC Accuses Former Wells Fargo Broker Kenneth A. Welsh of Stealing Investor Funds
:
Updated:
Iorio Altamirano LLP Investigates Joseph Stone Capital Broker Leonid (Lenny) Yurovsky for Churning, Excessive Trading, and Unsuitable Investment Recommendations
:
Updated:
Iorio Altamirano LLP Investigates Investment Recommendations Made by Former UBS Broker Patrick Murray – Sandusky, Ohio
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GPB Capital Founder Seeks Millions in Distributions from Fund Investors That He Allegedly Defrauded
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Updated:
Merrill Lynch Fined $1.5 million by FINRA – New York, NY
:
Updated:
Lee Victor Nordstrom, Formerly with Vorpahl Wing Securities, BARRED by FINRA – Spokane, WA
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PFS Investments Broker Jeffrey Dampf BARRED by FINRA – Totowa, NJ
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Updated:
Courtney Michelle Kaplan, Formerly with Wells Fargo, BARRED by FINRA – Tampa, FL
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Updated:
Deborah Herrmann, Formerly with Transamerica Financial Advisors, BARRED by FINRA – Wheaton, IL
:
Updated:
Iorio Altamirano LLP Files GPB Automotive Claim Against American Capital Partners
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Updated:
Purshe Kaplan Sterling Broker Lee Taylor BARRED by FINRA – Skippack, PA
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FINRA Files Enforcement Action Against Former Edward Jones Broker Alan Price – Frankfort, IN
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Updated:
Robert Joseph Boyer III, Formerly with MML Investors Services, LLC, BARRED by FINRA – Holyoke, MA
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Updated:
David Wells, Formerly with Fifth Third Securities, Inc., BARRED by FINRA – Chicago, IL
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Updated:
Jerry Rice, Formerly with Raymond James, Suspended by FINRA – Tinton Falls, NJ
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Whistleblower Award Alert: The SEC Awards $36 Million to Whistleblower
:
Updated:
Robert Nyilas, Formerly with Advisory Group Equity Services, BARRED by FINRA – Westport, CT
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Updated:
Ronald Daley, Formerly with W&S Brokerage Services, Inc., BARRED by FINRA – West Chester, OH
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Updated:
William Michero, Formerly with Cambridge Investment Research, Inc., BARRED by FINRA – Fort Worth, TX
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Two More Wins for UBS Yield Enhancement Strategy (YES) Customers, Fourth and Fifth Awards in 2021
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The SEC Has Awarded Over $1 Billion to Whistleblowers
:
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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
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Updated:
Santander Investment Securities Inc. Sanctioned by FINRA for Publishing and Distributing Inaccurate and Incomplete Research Reports to Institutional Investors
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Updated:
Scott Madison, Formerly with Merrill Lynch, BARRED by FINRA – Riverhead, NY
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Updated:
Jeffrey Travis Drost, Formerly with Raymond James, BARRED by FINRA – Victoria, TX
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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
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Updated:
Joffre Salazar, Formerly with LPL Financial LLC, Suspended by FINRA – Staten Island, NY
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Updated:
David Van Geffen, Formerly with Raymond James, Suspended by FINRA – Lafayette, LA
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Updated:
Primary Capital, LLC Fined $50,000 by FINRA Over EB-5 Business – Miami, FL
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Updated:
SW Financial Broker, Joseph Lianzo, Suspended by FINRA for Excessively Trading Customers’ Accounts and Placing Unauthorized Trades
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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
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Whistleblower Awards Alert: The SEC Awards $2.6 Million to Four Whistleblowers
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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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Updated:
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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Updated:
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
:
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
:
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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Updated:
Whistleblower Award Alert: The SEC Awards Nearly $3 Million to Whistleblower
:
Updated:
StockCross Financial Services, Inc. (now Muriel Siebert & Co., Inc.) Sanctioned by FINRA for Failing to Properly Supervise Solicited Transactions for Excessive Trading
:
Updated:
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
:
Updated:
NEXT Financial Group, Inc. Fined by FINRA – Houston, TX
:
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
:
Updated:
GWN Securities Broker, Ronald Giovino, Barred by FINRA – Clearwater, Florida
:
Updated:
Popular Securities, LLC Broker Fernando Luis Monllor Suspended by FINRA – Ponce, PR
:
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
:
Updated:
Crown Capital Securities, L.P. Ordered to Pay $1.6 million to Settle SEC Case
:
Updated:
FINRA Arbitration Award: SunTrust Investment Services, Inc. and SunTrust Advisory Services, Inc. Ordered to Pay $200,000
:
Updated:
Bloomington, Minnesota Financial Advisor, John Swon, Formerly of Royal Alliance Associates and Focus Financial, Barred by FINRA
:
Updated:
Medford, Oregon Financial Advisor, Juan Ceja, Formerly of PFS Investments Inc, Barred by FINRA
:
Updated:
Stu Pearl, Former David A. Noyes & Company Broker, Suspended for Making Unsuitable Non-Traditional ETF Investment Recommendations – Indianapolis, IN
:
Updated:
Broker Daniel Jossen, Formerly with NYLIFE Securities LLC, BARRED by FINRA – Bethesda, MD
:
Updated:
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
:
Updated:
Takeaways from Robinhood’s IPO Filing
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Updated:
Whistleblower Awards, Week of June 21 – 25, 2021
:
Updated:
Breaking News: Robinhood Ordered to Pay $70 Million, the Largest Financial Penalty Ever Ordered by FINRA
:
Updated:
Joseph Stone Capital L.L.C. Broker Suspended by FINRA
:
Updated:
Broker Cesar Gabriel Hernandez, Formerly with Gentem Capital, BARRED by FINRA – Miami, FL
:
Updated:
Broker Nathan Gersteen Katz, Formerly with Triad Advisors LLC, BARRED by FINRA – Largo, FL
:
Updated:
Columbia, Missouri Broker, Alex Perry, Formerly of Stifel, Nicolaus & Company, Barred by FINRA
:
Updated:
Investor Alert: Iorio Altamirano LLP Investigates Merrill Lynch Over Unit Investment Trust (UIT) Early Rollover Practices
:
Updated:
Broker Eric Burton, Formerly with LPL Financial LLC, Suspended by FINRA – Orland Park, IL
:
Updated:
Spartan Capital Securities, LLC Broker Carlos Hurtado BARRED by FINRA – New York, NY
:
Updated:
Farmers Financial Solutions, LLC Sanctioned by FINRA
:
Updated:
Alabama Financial Advisor, Kevin McCallum, Formerly of LPL Financial, Suspended for One Year for Making Unsuitable Investment Recommendations
:
Updated:
Jackson, Mississippi Investor Wins Arbitration Claim Against E*Trade Securities LLC
:
Updated:
Broker John Braddock, Formerly with Lakeridge Capital Inc., Suspended by FINRA – Salida, CO
:
Updated:
Popular Securities, LLC Broker Dennis Cummings Suspended by FINRA – Mayaguez, PR
:
Updated:
FINRA Files Enforcement Action Against Financial Broker Michael Giovannelli, Formerly of Spartan Capital Securities, for Unauthorized Trades in an Elderly Customer’s Account
:
Updated:
Former Folger Nolan Fleming Douglas Incorporated Broker, Marc Lippman, Barred by FINRA – Washington, DC
:
Updated:
FINRA Files Complaint Against Former Allstate Financial Services, LLC Broker Elizabeth Ann Sollars – Terre Haute, IN
:
Updated:
Northwestern Mutual Investment Services, LLC Broker Scott Niekamp Suspended by FINRA – Chesterfield, MO
:
Updated:
FINRA Files Enforcement Action Against Marc Reda of Spartan Capital Securities
:
Updated:
June 14, 2021: The SEC Awards $3 Million to Two Whistleblowers
:
Updated:
Broker Jason Howell Poff, Formerly with LPL Financial LLC, Suspended by FINRA – Houston, TX
:
Updated:
Oppenheimer & Co. Inc. Fined $525,000 by FINRA – New York, NY
:
Updated:
Broker Gregory Walter McCloskey, Formerly with WestPark Capital, BARRED by FINRA – Newport Beach, CA
:
Updated:
Broker Jimmie Darrel Summers, Formerly with Cetera Investment Services LLC, Suspended by FINRA – Tulsa, OK
:
Updated:
Virginia Broker, Peter Suyama Suspended by FINRA
:
Updated:
Former Worden Capital Management Broker, Salvatore Pizzimenti, Barred by FINRA – New York, New York
:
Updated:
Broker Spotlight: Philip Connors of Worden Capital Management LLC – New York, NY
:
Updated:
Broker Spotlight: David Murray of Worden Capital Management LLC – New York, NY
:
Updated:
Investor Alert: Iorio Altamirano LLP Investigates Titan Securities Over Sale of Future Income Payments
:
Updated:
Titan Securities CEO and Owner Brad Brooks Suspended for One Year
:
Updated:
Broker Louis Kreisberg, Formerly with Wavecrest Securities, LLC and Pickwick Capital Partners, LLC, BARRED by FINRA
:
Updated:
Former UBS Broker, Ricardo Turlan, Suspended by FINRA – San Antonio, Texas
:
Updated:
Former SagePoint Financial, Inc. Broker Grant Birkley BARRED by FINRA – Barrington, Illinois
:
Updated:
Former SagePoint Financial, Inc. Broker Cynthia Komarek BARRED by FINRA – Barrington, Illinois
:
Updated:
Cadaret Grant Broker Matthew Zanowiak Suspended by FINRA – Lancaster, Pennsylvania
:
Updated:
Mario Rivero, Jr., Formerly with Wells Fargo, BARRED by FINRA – Elizabeth, New Jersey
:
Updated:
Former Park Avenue Securities Broker Nick Palumbo, BARRED by FINRA
:
Updated:
Boiler Room Broker, James Flower, Barred by FINRA for Excessive Trading, Churning, Unauthorized Trading, Mismarking Orders, and Targeting Elderly Investors
:
Updated:
The SEC Announces Awards of $13 Million and $10 Million to Two Whistleblowers
:
Updated:
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
:
Updated:
Broker Spotlight: Ross Barish of Joseph Stone Capital L.L.C. – Mineola, NY
:
Updated:
Former Oppenheimer Broker, Jeffrey Warren, Barred by FINRA – Boca Raton, Florida
:
Updated:
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
:
Updated:
ONESCO Ordered to Pay Nearly $1.3 Million by FINRA – Cincinnati, Ohio
:
Updated:
UnionBanc Investment Services, LLC Fined by FINRA – Glendale, California
:
Updated:
Broker Spotlight: Robert Yasnis of Worden Capital Management LLC – New York, NY
:
Updated:
Broker Spotlight: Kevin Wilson of Worden Capital Management LLC – New York, NY
:
Updated:
Triad Advisors LLC Broker, Mark Just, Suspended by FINRA – Indianapolis, Indiana
:
Updated:
Pinehurst, North Carolina Broker, Mercer Hicks III, Barred by FINRA for Making Unsuitable Recommendations to Five Senior Customers
:
Updated:
26-year-old Truck Driver from Connecticut Files Securities Arbitration Claim Against Robinhood for Placing Trade Restrictions on certain “Meme Stocks”
:
Updated:
Network 1 Financial Securities Inc. Broker Carl Antaki (Formerly of First Standard Financial Company LLC) Suspended by FINRA for Excessive and Unsuitable Trading
:
Updated:
Bronx Broker, Matthew Siliato, Formerly of Wynston Hill Capital, LLC, Barred by FINRA
:
Updated:
Calton & Associates, Inc. Sanctioned by FINRA Over Non-Traditional and Volatility-Linked Exchange Traded Products
:
Updated:
Broker Spotlight: Martin Lerner of David Lerner Associates, Inc. Facing Pending Securities Arbitration Complaint Related to Energy 12 and SOAEX – Boca Raton, Florida
:
Updated:
$28 Million Awarded to Whistleblower by SEC
:
Updated:
Brokers International Financial Services, LLC and Broker Mark Perry Ordered to Pay $795,959 to Widow by a FINRA Arbitration Panel
:
Updated:
GPB Automotive Portfolio, LP’s Latest Public Filing Raises Doubts That the Business Will Survive; Investors Should Contact an Attorney to Review Legal Rights
:
Updated:
Orchard Securities Broker Alma Edwards Faerber Facing $1 Million Customer Claim
:
Updated:
Broker Jason Lynn DiPaola Investigated by FINRA – New York, NY
:
Updated:
Former Wells Fargo Broker Gary Len Wells Suspended by FINRA – Tacoma, WA
:
Updated:
Former Morgan Stanley Broker in Miami, Candido Viyella, BARRED by FINRA
:
Updated:
Former LPL Financial LLC Broker John Simmons BARRED by FINRA – Gulf Breeze, FL
:
Updated:
Former Securities America, Inc. Broker, Bill Dixon, BARRED from the Securities Industry by FINRA – Urbana, Ohio
:
Updated:
Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida
:
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
:
Updated:
SEC Awards $3.6 Million to Whistleblower; The SEC Has Awarded Over $104 Million Whistleblowers in 2021
:
Updated:
How to Recover Investment Losses: Frequently Asked Questions
:
Updated:
SEC Awards $22 Million to Two Whistleblowers Whose Information Resulted in Successful SEC Enforcement Actions Against A Financial Services Firm
:
Updated:
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.
:
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
:
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
:
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
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Updated:
Iorio Altamirano LLP Investigates Vanderbilt Securities, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates United Planners Financial Services Over GPB Funds
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Iorio Altamirano LLP Investigates Orchard Securities, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates Stephen A. Kohn & Associates, Ltd. Over GPB Funds
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Iorio Altamirano LLP Investigates Vestech Securities, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates DFPG Investments, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates David A. Noyes & Company Over GPB Funds
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Independent Financial Group, LLC Fined by FINRA Over Supervisory Violations
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Former LPL Financial LLC Broker John Scott BARRED by FINRA – Phoenix, Arizona
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Former LPL Financial LLC Broker Elias Hakimian, Suspended by FINRA – Costa Mesa, California
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Iorio Altamirano LLP Investigates HighTower Securities, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates Private Client Services, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates Innovation Partners, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates Kingsbury Capital, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Detalus Securities, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates Cascade Financial Management, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Capital Financial Services, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates DH Hill Securities, LLLP Over GPB Funds
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Iorio Altamirano LLP Investigates International Assets Advisory, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates Western International Securities, Inc. Over GPB Funds
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FINRA Files Enforcement Action Against Former Joseph Stone Capital, LLC. Broker Abdul Rahmani
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Former Financial Advisor Michael Dellaporta, Jr. BARRED From the Securities Industry by FINRA – Fort Lauderdale, Florida
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FINRA Files Enforcement Action Against Hugues Guirand, Formerly of Woodstock Financial Group, Inc. – Virginia Beach, VA
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Former IFS Securities Broker, Steven Schisler, Facing Disciplinary Charges by FINRA for Numerous Alleged Misconduct, Including Unsuitable Investment Recommendations to An Elderly Couple
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Iorio Altamirano LLP is Investigating MSC – BD, LLC and Broker Robert Fehrman For Recommending GPB Capital Holdings to Customers
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Investigation: Former Axiom Capital Management, Inc Broker, Michael Packman, Reportedly Recommended GPB Capital Holdings to Customers
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Iorio Altamirano LLP Investigates Moloney Securities Co., Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Investment Architects, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Landolt Securities, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Lowell & Company, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Great Point Capital LLC Over GPB Funds
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Iorio Altamirano LLP Investigates WestPark Capital, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Dinosaur Financial Group, L.L.C. Over GPB Funds
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Iorio Altamirano LLP Investigates Dempsey Lord Smith, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates MSC – BD, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates McDonald Partners LLC Over GPB Funds
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Iorio Altamirano LLP Investigates Royal Alliance Associates, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Kalos Capital, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Purshe Kaplan Sterling Investments Over GPB Funds
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Iorio Altamirano LLP Investigates SagePoint Financial, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Money Concepts Capital Corp Over GPB Funds
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Iorio Altamirano LLP Investigates Silber Bennett Financial, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Uhlmann Price Securities, LLC Over GPB Funds
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Iorio Altamirano LLP Investigates Woodbury Financial Services, Inc. Over GPB Funds
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Iorio Altamirano LLP Investigates Newbridge Securities Corporation Over GPB Funds
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Iorio Altamirano LLP Investigates Whitehall-Parker Securities, Inc. Over GPB Funds
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Investigation: Former MML Investor Services, LLC Broker, Oscar Francis, Reportedly Recommended GPB Capital Holdings to Customers – Fort Lauderdale, Florida
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Scottsdale, Arizona Broker Kevin Canterbury Facing Three Pending Customer Disputes
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SEC Awards $2.5 Million to Whistleblower, as Chief of the SEC’s Office of the Whistleblower Announces Impending Departure
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Broker Hebert Frey Suspended by FINRA After Excessively Trading and Placing Unauthorized Trades in The Account of a Disabled Client – Mount Vernon, Ohio
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Burlington, Vermont Financial Advisor Louis Olave Suspended by FINRA
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Broker Matthew Crafa Facing Three Pending Customer Disputes Related to GPB Capital Funds
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Joseph Ambrosole, a Joseph Stone Capital L.L.C. Broker, Suspended by FINRA
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Dawson James Securities, Inc. Sanctioned by FINRA for Charging Customers Excessive Commissions
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Broker Frank Sapareto, Formerly of Advisory Group Equity Services, Investigated by FINRA
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Rhode Island Broker Keith Holcomb, Formerly of Cambridge Investment Research and MML Investors Services, Suspended by FINRA
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Former Insigneo Broker Ignacio Erhart Del Campo Suspended by FINRA – Miami, FL
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Hutchinson Island, Florida Broker, Gregory Mancuso, Formerly of Crowdvest Securities LLC, BARRED by FINRA
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Moloney Securities Broker Candice Montie Suspended by FINRA – Fenton, MI
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Another Win for UBS Yield Enhancement Strategy (YES) Customers, Second Award in March 2021
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FINRA Sanctions Securities America, Inc. For Failing to Supervise the Sale of the LJM Preservation and Growth Fund
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FINRA Sanctions J.W. Cole Financial, Inc. For Failing to Supervise the Sale of the LJM Preservation and Growth Fund
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FINRA Sanctions Cambridge Investment Research, Inc. For Failing to Supervise the Sale of the LJM Preservation and Growth Fund
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St. Augustine, Florida Financial Advisor Charles Thomas Stevens, Formerly of D.H. Hill Securities, LLP, BARRED by FINRA
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Lake Forest, Illinois Financial Advisor Victor A. Rigoni, III, Formerly of Summit Brokerage Services, Inc., Suspended by FINRA
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SEC Awards Over $500,000 to Whistleblower, the 40th Individual to Receive an Award This Past Year
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Broker, Jeremy Johnson, Formerly of Torch Securities, LLC, BARRED by FINRA – Murrieta, CA
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Former RBC Capital Markets Broker Jeffrey Fladell Suspended by FINRA – Florham Park, NJ
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Cantor Fitzgerald & Co. Trader, Riaz Haidri, Suspended for Disclosing a Customer’s Confidential Trading Strategy to Another Customer
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Another Day, Another Disciplinary Action Against Aegis Capital Corp.
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Santa Barbara Financial Advisor, Mark Delgadillo, Formerly of D.A. Davidson & Co., Suspended by FINRA
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West Des Moines, Iowa Broker, John O’Bannon, Formerly of Edward Jones, Suspended by FINRA
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Broker Chad Mackland, Who Is Facing Felony Criminal Charges, BARRED by FINRA
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Western International Securities Compliance Officer BARRED by FINRA – Pasadena, CA
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Updated:
Buckman, Buckman and Reid Broker Allan Katz Suspended by FINRA – Staten Island, NY
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Trevor Rahn, Former J.P. Morgan Securities Broker, Suspended for Unauthorized Trades, Unsuitable Recommendations, and Mismarked Orders – Los Angeles, CA
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FMN Capital Broker Jeffrey Stanga Suspended by FINRA – Mission Viejo, CA
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Former Purshe Kaplan Sterling Broker Tonya Nicole Smoake Suspended by FINRA – New York, NY
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Former Aegis Capital Broker Edmund Zack Suspended by FINRA – New York, NY
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Former Aegis Capital Corp Broker, Kishan (Sean) Parikh, Facing Disciplinary Charges by FINRA for Unsuitable Investment Recommendations and Excessive Trading
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UBS Ordered to Pay $1 million to Yield Enhancement Strategy (YES) Customers
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Investigative Report: Iorio Altamirano LLP Investigation into Joseph Stone Capital L.L.C. Reveals Troubling Pasts for Owners, Executives, and Brokers
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Iorio Altamirano LLP Investigates Cambridge Investment Research, Inc. Over Sale of LJM Preservation and Growth Fund
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Former Ameriprise Financial Services Broker, Clyde Jensen, Facing Disciplinary Charges by FINRA
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Updated:
Aegis Capital Fined and Censured by FINRA
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Former Kestra Investment Services, LLC Broker, Mayur Dalal, BARRED by FINRA – New Hyde Park, NY
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Stockbroker George Warner BARRED by FINRA
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Investor Alert: Attention Credit Suisse VelocityShares™ ETN Investors
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Former JP Morgan Broker Avi Schottenstein Accused of Abuse of Fiduciary Duty and Misrepresentations – FINRA
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Former JP Morgan Broker Evan Schottenstein Accused of Abuse of Fiduciary Duty and Misrepresentations – FINRA
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The SEC Has Awarded Approximately $1.5 Million to Whistleblower, Bringing the Whistleblower Program’s Total to Over $759 Million
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Former Broker Ryan Tarjanyi Barred by FINRA – Kettering, OH
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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
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Palm City, Florida Financial Advisor, Richard Shelley, Formerly of Packerland Brokerage Services, Inc., Suspended by FINRA
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INVESTOR ALERT: ATTENTION CREDIT SUISSE-GREENSILL FUND INVESTORS
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How to Recover Puerto Rico Bond Losses From David Lerner Associates, Inc.
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Rodgers, Arkansas Financial Advisor Rhett Bedwell BARRED by FINRA
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INVESTOR ALERT: ATTENTION AIRBORNE WIRELESS NETWORK (ABWN) STOCKHOLDERS
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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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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
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Broker Ricky Alan Mantei Suspended by FINRA For Violating Firm Prearranged Trading Prohibitions – Lexington, SC
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Broker Spotlight: Daniel T. Lerner of David Lerner Associates, Inc. Facing Three Pending Securities Arbitration Complaints – White Plains, New York
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Moab, Utah Financial Advisor Scott Hansen, Formerly of LPL Financial LLC, Suspended by FINRA
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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
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Former Broker Stewart Schram Suspended by FINRA Over Outside Business Activities and Private Securities Transactions – Northbrook, IL
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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
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Former Wells Fargo Broker in Scottsdale, Arizona, Scott Reed, Barred by FINRA
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Network 1 Financial Securities Inc. Fined $25,000 by FINRA Over Best Execution Rule Violations – Red Bank, New Jersey
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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
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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
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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
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J.H. Darbie & Co., Inc. Fined $25,000 by FINRA Over Best Execution Rule Violations
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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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Updated:
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
:
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
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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
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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
:
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Arive Capital Markets’ Roy Failla Suspended by New Jersey for Engaging in Dishonest and Unethical Practices in the Securities Business, Including Excessive Trading
:
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Investor Alert: Iorio Altamirano LLP Investigates Robinhood, T.D. Ameritrade, Charles Schwab, and Other Brokerage Firms for Market Manipulation
:
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Former Broker Michael August Pellegrino SUSPENDED by FINRA
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Securities Arbitration Lawyer Blog