Insights
July 14, 2020
New Hampshire’s Bureau of Securities Regulation is investigating Merrill Lynch and one of its former top brokers following customer complaints that alleged misconduct which caused losses exceeding $10...
May 25, 2020
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Corpus Christi, Texas stockbroker Jesse Gil, III from the securities industry based on findings that Gil made unauthorized ...
May 16, 2020
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Staten Island, New York stockbroker Louis Cook from the securities industry based on findings that he fraudulently induced ...
May 9, 2020
The Securities and Exchange Commission has charged West Virginia-based registered representative Phillip Conley with securities fraud. According to the SEC charges, Mr. Conley made fraudulent securiti...
April 23, 2020
Crude oil prices fell into negative territory this week for the first time in history. The negative pricing means that an investor with a long position in oil would have to pay someone to take their o...
January 9, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred former Janney Montgomery Scott and Morgan Stanley broker John Joseph Cahill based on FINRA’s findings that Cahill refused to cooperate ...
December 30, 2019
The Financial Industry Regulatory Authority (“FINRA”) has barred former NYLIFE Securities broker Cristina Sabengsy based on FINRA’s findings that Sabengsy forged the signatures of two of her customers...
August 13, 2019
The Financial Industry Regulatory Authority (“FINRA”) has suspended broker Steve Baptist for 30 days and imposed a monetary sanction against him based on FINRA’s findings that Baptist placed six trade...
August 2, 2019
Hector May, the head of suburban New York registered investment advisory firm Executive Compensation Planners, has been sentenced to 13 years in prison and ordered to pay $8.4 million in restitution f...
July 30, 2019
The Financial Industry Regulatory Authority (“FINRA”) has imposed a permanent ban against former Morgan Stanley and Wells Fargo broker Robert Frederico Montes, who most recently worked in Morgan Stanl...
July 26, 2019
The Financial Industry Regulatory Authority (“FINRA”) has imposed a regulatory fine and a one year suspension against former Wells Fargo broker Michael David Garris, formerly of Wells Fargo’s Los Ange...
July 23, 2019
Charles Kenahan Former New Hampshire governor Craig Benson has filed a $42.2 million claim against his Merrill Lynch broker, Charles Ernest Kenahan, of Newport, Rhode Island, according to Investment N...
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