Insights
December 21, 2016
FINRA dished out $14.4 million in fines to twelve firms for breaches pertaining to the retention of broker-dealers’ and clients’ electronic records, which the regulator says made the firms...
December 14, 2016
A “good” investment portfolio is diverse, consisting of securities in a variety of industries. Brokers and financial advisors may recommend that you invest in real estate, and one way to do that it th...
November 28, 2016
Levi David Lindemann, a Minnesota investment advisor, received a six-year prison sentence for stealing from clients and operating a Ponzi scheme, according to the Minnesota Department of Commerce. Lin...
November 22, 2016
Fixed index annuity sales are on pace for a record year in 2016 as low interest rates and product features driver their popularity among broker-dealers and in the face of a potential new Labor Departm...
November 22, 2016
Everyone knows the name Bernie Madoff; he’s the man whose Ponzi scheme defrauded investors out of $65 billion , a scheme considered the largest act of financial fraud in history . What many investors ...
November 16, 2016
Edward Jones has been hit with a second excessive fee and self-dealing suit regarding its 401(k) plan. This is the second suit of this nature this year against the brokerage firm and just one of many ...
October 31, 2016
FINRA barred former FSC Securities Corporation broker Leonard Fox from acting as a broker or otherwise associating with firms that sell securities to the public. His BrokerCheck report shows that Fox ...
October 27, 2016
Following on the heels of the recent Wells Fargo scandal , FINRA is performing a sweep of broker-dealer firms to determine what kinds of cross-selling programs they have been offering. The regulator i...
October 26, 2016
Jamie Aguilar was terminated by Morgan Stanley for alleged conduct regarding private securities transaction. According the FINRA’s BrokerCheck, three customers have filed complaints against him. Morga...
October 25, 2016
Stuart Dickinson, a former WFG Investments broker, was banned from the securities industry by FINRA after recommending that his clients invest in a Ponzi scheme. The regulatory body also ordered Dicki...
October 21, 2016
FINRA suspended former LPL Financial broker Mark Tauzin for engaging in unsuitable short-term trading of unit investment trusts as well as maintaining blank, signed forms in customer files. He was sus...
October 20, 2016
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