Insights
November 2, 2017
The Securities and Exchange Commission filed a Complaint yesterday against former RBC Capital Markets and Merrill Lynch broker Thomas J. Buck, who was employed in the Indianapolis, Indiana area. Accor...
October 25, 2017
Last week, the Financial Industry Regulatory Authority (“FINRA”) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution...
October 17, 2017
Financial abuse of senior citizens is a growing trend as more and more Americans are living longer. All the wise steps financial advisors recommend to working adults saving for retirement can backfire...
September 13, 2017
In 2015 , Scott Valente was sentenced for securities fraud, mail fraud, and obstruction of justice to 20 years in prison and fines over $5 million. However, in April of 2017, that conviction was overt...
August 14, 2017
Kerbye Arthur resigned from Wells Fargo amidst allegations she made inaccurate statements on a co-worker’s mortgage gift letter, according to a recent Investment News article . After failing to ...
August 9, 2017
Investors recently settled a class action lawsuit against Geron, its CEO and CFO for $6.25 million dollars. The settlement agreement filed with the SEC can be found here . The Complaint alleged Geron ...
July 21, 2017
The Frankowski Firm is continuing its investigation of now-expelled securities broker Jerry McCutchen. McCutchen has been the subject of a multitude of customer complaints since 2000, the vast majorit...
June 29, 2017
las-vegas-investment-issues-lawyer Thomas Gresham is a stockbroker currently registered with Moloney Securities Co., Inc in Overland Park, Kansas. Between 2001 and 2015, FINRA’s BrokerCheck reco...
June 14, 2017
Beyond sheer greed and malevolence, the most common catalyst for Ponzi schemes is to cover up other serious losses. This was the situation for Francisco Illarramendi, a former hedge fund manager in Co...
May 18, 2017
Barclays Capital has reached a settlement with the SEC to refund over $97 million in advisory and mutual fund fees to customers the firm allegedly overcharged. The firm also agreed to set up a fund to...
May 17, 2017
Kevin Graetz has settled a FINRA complaint accusing him of failing to report federal and state tax liens against him amounting to over $1 million over nearly seven years. FINRA’s Form U4 mandate...
May 12, 2017
LPL Financial may ultimately repay $8 million to customers according to a settlement it reached with the New Hampshire Bureau of Securities regarding sales of non-traded real estate investment trusts....
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