Insights
March 2, 2016
FINRA has accused a former MetLife Securities Inc. and Pruco Securities Inc. broker, Winston Wade Turner, of harmful and deceptive variable annuity sales practices. According to FINRA’s complain...
February 26, 2016
Robert O’Keef, formerly a registered representative with RBC Capital Markets, LLC, submitted a letter of acceptance, waiver, and consent (AWC). O’Keef was registered as a General Securitie...
February 25, 2016
According to the Public Investors Arbitration Bar Association (PIABA), FINRA is failing to help investors collect arbitration awards for damages from the brokers. Seventy-five FINRA arbitration awards...
February 23, 2016
FINRA barred broker George Johnson from the securities industry for operating a manipulative trading scheme to artificially inflate the market price and trading volume for the common stock of IceWEB, ...
February 11, 2016
FINRA has barred two Buffalo, New York advisers, Timothy S. Dembskyi and Walter F. Grenda, from the securities industry for broker fraud in relation to the sale of a hedge fund, the Prestige Wealth Ma...
February 9, 2016
FINRA charged a broker for lying to a Native American tribe about the $11 million in commissions he charged when he sold the tribe $190 million in nontraded real estate investment trusts and business ...
February 5, 2016
The Frankowski Firm is currently investigating the possible wrongdoing of current UBS Financial Services broker Bradley Ross of Fort Lauderdale, Florida. According to FINRA’s BrokerCheck, Ross h...
February 4, 2016
In July 2014, Michael Winegar, formerly a broker with Wedbush Securities, allegedly convinced an elderly customer to pay him $100,000. Winegar told the 85-year-old customer that he would use th...
February 1, 2016
The Frankowski Firm is currently investigating the potential claims of people of who lost money investing with Glenn Guthrie, a former broker with Raymond James Financial Services in Birmingham, Alaba...
January 5, 2016
FINRA intends to investigate whether complying with rules is part of brokerage firms’ culture during its examinations this year. The regulatory authority announced on Tuesday that it will more f...
December 28, 2015
The SEC ordered Morgan Stanley Investment Management and brokerage firm Societe Generale Americas to pay $8.8 million and $1 million respectively for what it says was unsupervised prearranged trading ...
December 15, 2015
Comprehensive Asset Management and Servicing Inc. (“CAMS”) has agreed to pay $475,000 to settle claims that the firm failed to reasonably supervise representatives’ sales of variable...
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