Insights
October 1, 2020
It was announced on September 29 that JPMorgan Chase agreed to settle with U.S. authorities and will pay fines and penalties to the Commodities Futures Trading Commission and the Securities and Exchan...
September 28, 2020
The Financial Industry Regulatory Authority (FINRA) has expelled Sandlapper Securities, LLC , from the securities industry based on FINRA findings that the firm willfully defrauded investors by chargi...
September 11, 2020
The Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA) and the Commodity Futures Trading Commission (CFTC) have announced settlements with Interactive Brokers rela...
August 18, 2020
The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned SagePoint Financial, Inc. for failing to supervise early rollovers in Unit Investment Trusts (“UITs”). A Unit Investment ...
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...
July 7, 2020
The U.S. Securities and Exchange Commission is investigating two Marin County, California investment companies following the unexpected death of their owner, Ken Casey, in May. The investigation into ...
June 17, 2020
Northwestern Mutual Investment Services, LLC, headquartered in Milwaukee, Wisconsin, has been fined and censured by FINRA for failing to establish, maintain, and enforce a supervisory system reasonabl...
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 7, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred former First Standard Financial, LLC representative Michael Leahy of Red Bank, New Jersey, based on FINRA’s findings that Leahy was awa...
April 3, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred former First Standard Financial, LLC representative Robert F. Spiegel based on FINRA’s findings that Spiegel engaged in an unsuitably h...
March 5, 2020
The Securities and Exchange Commission has fined Wells Fargo Advisors $35 million for unsuitable sales of complex single-inverse Exchange Traded Funds (ETFs) to customers without the investment experi...
February 17, 2020
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred McNally Financial Services Corporation representative Dennis Masaaki Nakamura from the securities industry based on his ref...
Page 12 of 49
Free · Confidential · No Obligation
500+
Cases Handled
25+
Years Experience
AV
Preeminent Rated
$0
Fees Until We Win