Insights
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...
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...
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...
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 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...
November 10, 2018
A Financial Industry Regulatory Authority (FINRA) arbitration panel has entered a $300,000 award against Moloney Securities, Inc. and Moloney Securities Asset Management, LLC, of St. Louis, Missouri. ...
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...
Page 15 of 49
Free · Confidential · No Obligation
500+
Cases Handled
25+
Years Experience
AV
Preeminent Rated
$0
Fees Until We Win