Insights
February 12, 2021
First Standard Financial Advisory, LLC, based in Red Bank, New Jersey, has been sanctioned and barred from doing business in the State of New Jersey based on the New Jersey Bureau of Securities’ findi...
February 10, 2021
An indictment was unsealed in federal court on February 4, 2021, charging GPB Capital Holdings, LLC (“GPB”) with securities fraud, wire fraud, and conspiracy. Those charged include David Gentile, the ...
November 19, 2020
The Financial Industry Regulatory Authority (“FINRA”) has banned Louis Cook, who was a Staten Island, New York-based representative for National Planning Corporation and Securities Service Network. FI...
October 26, 2020
According to the Consumer Financial Protection Bureau’s (CFPB) Consumer Complaint Database , the popular investing and trading platform Robinhood Markets, Inc. (“Robinhood”) received fifty-nine (59) c...
October 21, 2020
The value of New York City REIT, Inc. has tanked since its public listing in August 2020. According to Investment News , some investors have suffered losses as high as 80% from its initial sales price...
October 16, 2020
Morgan Stanley Smith Barney LLC was recently sanctioned for failing to reasonably supervise a representative for recommending short-term trades of corporate bonds and preferred securities for ten cust...
October 15, 2020
From January 2013 through December 2017, SagePoint Financial Inc. failed to create or maintain a supervisory system or enforce WSPs to supervise the suitability recommendations to customers regarding ...
October 2, 2020
On September 22, 2020, an arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) made findings against Jason K. Williams (CRD#: 4676003) and entered an award against him exceeding...
September 30, 2020
The Frankowski Firm is investigating potential claims related to investor losses in the Sierra Income Corporation. Sierra is a non-traded business development company (“BDC”). As a non-traded investme...
September 28, 2020
The Financial Industry Regulatory Authority (FINRA) has expelled Sandlapper Securities, LLC , from the securities industry based on FINRA findings that the firm willfully defrauded investors by chargi...
June 10, 2020
Last month, investors filed a class action suit against blockchain software firm Block.one, alleging that the company defrauded investors through the sale of unregulated assets. Over the course of abo...
May 16, 2020
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Staten Island, New York stockbroker Louis Cook from the securities industry based on findings that he fraudulently induced ...
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