Insights
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 28, 2016
The SEC charged Broidy Wealth Advisors and its owner with overbilling clients and stealing assets from their trusts to pay for personal expenses, including leases on two luxury cars. The firm and owne...
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 19, 2016
Paul Lebel, a broker formerly with LPL Financial from 2008 to 2014, was barred by the SEC for churning and excessively trading mutual funds in customer accounts and generating excess fees. [su_spacer ...
October 19, 2016
The Frankowski Firm, LLC currently represents multiple investors who have invested in troubled United Development Funding REITs. Earlier this week, the Securities and Exchange Commission issued a Well...
October 18, 2016
Debra Ferrara, a former client administrator at Morgan Stanley, was fined and suspended by FINRA for fraudulently transferring a total of $108,680 out of a client’s account to third party bank a...
October 17, 2016
FINRA barred former Waddell & Reed Inc. broker Gregory Bauer from the securities industry for making over $400,000 in unauthorized withdrawals from his parents’ accounts. [su_spacer size=...
October 14, 2016
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October 13, 2016
Sam Wyly, an ex-Texas billionaire who has declared bankruptcy, will pay $198.1 million to settle federal securities regulator claims accusing him of securities fraud to hide trades in companies that w...
October 12, 2016
The SEC filed a record number of enforcement actions against investment advisers and firms during the past fiscal year, the commission announced. It filed 160 cases against advisers and firms, includi...
October 11, 2016
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