Insights
June 14, 2016
Former broker Brian Smit entered a Letter of Acceptance, Waiver, and Consent, accepting a bar from being associated with any FINRA member in any capacity over engaging in unapproved private securities...
June 9, 2016
FINRA has barred Christopher Tolmacs of Portage, Michigan, alleging that the broker borrowed client funds. The providing of loans or selling of promissory notes and other investments outside of a brok...
June 8, 2016
FINRA fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay over $716,000 to harmed clients for selling leveraged, inverse and inverse-leveraged exchange-traded funds without reas...
June 7, 2016
Recently, two FINRA enforcement officials emphasized at an insurance industry conference that variable annuities, which offer lifetime guaranteed income to investors but can be complicated and expensi...
June 3, 2016
[fusion_builder_container type=”flex” hundred_percent=”no” equal_height_columns=”no” menu_anchor=”” hide_on_mobile=”small-visibility,medium-visibi...
May 24, 2016
[fusion_builder_container type=”flex” hundred_percent=”no” equal_height_columns=”no” menu_anchor=”” hide_on_mobile=”small-visibility,medium-visibi...
May 23, 2016
FINRA has barred broker Christopher Burtraw of Lakewood, Colorado, alleging that he borrowed client funds. Burtraw accepted a permanent bar after he failed to provide documents and information sought ...
May 18, 2016
FINRA has fined two units of Raymond James Financial Inc. with a record $17 million in fines for rampant compliance failures in the brokerage’s anti-money laundering programs. The two units, Ray...
May 18, 2016
[fusion_builder_container type=”flex” hundred_percent=”no” equal_height_columns=”no” menu_anchor=”” hide_on_mobile=”small-visibility,medium-visibi...
April 28, 2016
According to FINRA’s BrokerCheck, Merrill Lynch broker Heather Weber has been the subject of at least seven customer complaints. The complaints claim that Weber violated securities laws, includi...
April 27, 2016
According to FINRA’s BrokerCheck, New York-based Worden Capital Management broker Allan Montalbano is facing numerous customer complaints for making misrepresentations, among other allegations. ...
April 25, 2016
FINRA has barred James Van Doren from the securities industry for unethical conduct. Van Doren was allegedly involved in money laundering and operating a scheme to deceive a friend’s creditors a...
Page 17 of 25
Free · Confidential · No Obligation
500+
Cases Handled
25+
Years Experience
AV
Preeminent Rated
$0
Fees Until We Win