Insights
May 3, 2019
A panel of arbitrators of the Financial Industry Regulatory Authority (“FINRA”) has entered a unanimous decision against Morgan Stanley and its broker, Michael Lee Canney, of Des Moines, Iowa. The com...
April 30, 2019
The Securities and Exchange Commission has charged Christopher Dougherty and his firm C&D Wealth Management, of the San Diego area, with running a Ponzi scheme which defrauded investment advisory ...
April 11, 2019
One of UBS’s former top brokers in Puerto Rico, Jose Ramirez, has been sentenced to one year and a day following his guilty plea in a bank fraud case involving Puerto Rico closed-end bond funds. Accor...
March 26, 2019
Hector May Ponzi Scheme Results in Guilty Plea and Lawsuit Former Securities America, Inc. broker Hector Anthony May, of New City, NY, pleaded guilty last December to running a $7.9 million Ponzi sche...
March 12, 2019
The Securities and Exchange Commission has entered an Order permanently barring former Wells Fargo Advisors broker John Gregory Schmidt, of Dayton, Ohio, from the securities industry. The SEC’s Order ...
March 5, 2019
The Securities and Exchange Commission has entered an Order permanently barring Staten Island, New York-based broker William C. Gennity from the securities industry. The SEC’s Order includes findings ...
February 27, 2019
A federal jury in Chicago, IL has entered a guilty verdict against Shawn Baldwin , a former owner of various investment firms in the Chicago area, on charges that he swindled at least fifteen investor...
February 22, 2019
The Financial Industry Regulatory Authority (“FINRA”) has suspended Middleton, Massachusetts broker Bruce C. Worthington from the securities industry in all capacities following allegations that he mi...
February 19, 2019
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Floyd Powell , of Albertville, Alabama, from the securities industry based on findings that he engaged in undisclosed and unappr...
January 29, 2019
The Securities and Exchange Commission (“SEC”) has charged Atlanta, Georgia based investment advisor Joseph A. Meyer, Jr. and his company, Statim Holdings, with investment fraud of a private fund they...
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 4, 2019
The Securities and Exchange Commission brought charges last month against thirteen individuals and ten companies for unlawfully selling securities of Woodbridge Group of Companies, LLC to retail inves...
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