Insights
February 6, 2019
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has entered an award of over $276,000 against Quest Capital Strategies, Inc. , of Lake Forest, California. The case centered aroun...
January 25, 2019
The Financial Industry Regulatory Authority (“FINRA”) has made findings against Quest Capital Strategies, Inc. of Lake Forest, California and censured and fined the firm for supervisory failures and l...
January 22, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against Morgan Stanley Smith Barney and entered an award against the firm exceeding $4.2 million in fav...
January 18, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against Crystal Bay Securities, Inc. of Delray Beach, Florida and entered an award against the firm for...
January 14, 2019
The Frankowski Firm is investigating potential claims against Financial Industry Regulatory Authority (“FINRA”)-expelled broker Daniel Todd Levine, of Greenwood Village, Colorado, following Mr. Levine...
January 10, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against Great Falls, Montana-based D.A. Davidson & Co. and entered an award against the firm for ov...
December 27, 2018
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Merrill Lynch $6 million for selling shares in initial public offerings (IPOs) to industry insiders, including employees’ immediate...
December 21, 2018
The Financial Industry Regulatory Authority (“FINRA”) has fined Cetera Advisor Networks $1.4 million related to short-term mutual fund purchases of a former broker. FINRA fined Cetera $700,000 in pena...
November 23, 2018
An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”), has entered an Award of over $564,000 , plus interest, against UBS Financial Services, Inc. and UBS Financial Services, I...
November 21, 2018
The Financial Industry Regulatory Authority (“FINRA”) has entered an Acceptance Waiver and Consent letter against Cheryl Ann Stallings, formerly of LPL Financial, LLC. According to FINRA’s factual fin...
November 16, 2018
The Financial Industry Regulatory Authority (“FINRA”) entered an Acceptance, Waiver, and Consent (“AWC”) letter today against former Waddell & Reed broker Robert Lee Basile, who worked in Waddell ...
November 13, 2018
An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”), has entered an Award of over $360,000 , plus interest, against Wells Fargo Advisors, LLC following a customer arbitration...
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