Insights
May 5, 2017
Next week, FINRA will take a look at two problems that have been plaguing it: brokers with disciplinary records who manage to keep popping back up in the industry and firms that do not pay arbitration...
April 26, 2017
The SEC accused former broker Demitrios Hallas with trading leveraged Exchange Traded Funds (ETFs) and Exchange Traded Notes (ETNs) in clients’ accounts and swindling $170,000 from one of his cl...
April 19, 2017
When you invest your hard-earned money, you probably do so because you want to protect yourself in the future. Whether you are planning for your retirement, for a major purchase (like a home), for you...
April 13, 2017
Robert Tricarico, a former LPL broker, pleaded guilty to stealing $1.2 million from a client by a federal court in Hartford, Connecticut and was sentenced to forty-one (41) months in jail. The Court a...
April 11, 2017
FINRA arbitrators are starting to explain expungement decisions more thoroughly, getting rid of some of the mystery associated with removing customer disputes from brokers’ records. This can cer...
April 5, 2017
When an investor is the victim of securities fraud or negligence, he or she can bring a claim for damages against the broker, advisor or firm. Much of the time, the case will be heard in front of an a...
March 30, 2017
Corrine Mittag, formerly a broker with BancWest Investment Services, is looking at sanctions from FINRA for allegedly wiring $34,000 from a client’s account without approval and as requested by ...
March 29, 2017
For many people, the phrase “securities fraud” is synonymous with Bernie Madoff, the man who ran a multi-billion dollar Ponzi scheme that resulted in thousands of people losing their investment funds....
March 16, 2017
Aegis Capital Corp., which is a mid-sized brokerage firm out of New York City and has 415 registered representatives, is currently under investigation from three regulators, according to a document fi...
March 15, 2017
FINRA announced that it barred former Waddell & Reed Inc. broker Paul Stanley, who was dismissed by Wadell & Reed in January 2016 for failing to comply with the company’s professional co...
March 10, 2017
FINRA has barred Red River Securities, a broker-dealer formerly out of Plano, Tax, and its Chief Executive Officer Keith Hardwick for fraudulently selling five oil and gas joint ventures, calling the ...
March 9, 2017
Voya Financial Advisors will pay nearly $3.1 million because of payments it got from its clearing broker in relation to mutual fund sales. The firm settled a cease-and-desist order from the SEC and wi...
Page 16 of 30
Free · Confidential · No Obligation
500+
Cases Handled
25+
Years Experience
AV
Preeminent Rated
$0
Fees Until We Win