Insights
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...
December 21, 2018
Investors have filed lawsuits against intermediaries and advisory firms – including stockbrokers, financial advisers, financial planners, and insurance agents, for their losses estimated to be at leas...
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 7, 2018
Former NEXT Financial advisor Douglas Simanski, of Johnstown, Pennsylvania, will pay $3.9 million to settle SEC charges against him and will plead guilty to criminal charges filed against him in the W...
November 1, 2018
Ami Forte, once a star Morgan Stanley advisor with over $2 billion in assets under management, is out at Pinnacle Investments as of October 17, according to her FINRA BrokerCheck report . Forte’s depa...
August 6, 2018
Ethan De Naray Broker Investigation The Frankowski Firm is investigating potential claims against Ethan De Naray, of the Minneapolis, Minnesota area, and his former employer, Merrill Lynch, following ...
July 25, 2018
The Financial Industry Regulatory Authority (“FINRA”) has censured and fined four brokerage firms for failure to supervise variable annuity exchanges. Collectively, Woodbury Financial Services, Sagepo...
July 6, 2018
The Securities and Exchange Commission (SEC) recently imposed significant sanctions against Alexander Capital Advisors, a brokerage firm based in New York, for egregious supervisory failures. The agen...
July 5, 2018
On June 25, 2018, a FINRA arbitration panel entered an award of $1,091,575.21 against Woodbury Financial Services , of Oakdale, Minnesota, based on its failure to supervise former broker Robert Hayes ...
June 28, 2018
The Frankowski Firm is investigating potential claims against Kyusun Kim and his former employer, Independent Financial Group, LLC, of San Diego, California, following FINRA’s decision to permanently ...
June 22, 2018
FINRA has barred former Morgan Stanley manager Terry McCoy of Palm Harbor, Florida from acting as a supervisor based on Mr. McCoy’s failure to supervise former Morgan Stanely broker Ami Forte while Ms...
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