Insights
June 17, 2016
Haena Park, a New York foreign exchange trader, has been charged with investor fraud, claiming her investments were profitable when she actually lost over $16 million since 2012. The SEC claims Park m...
June 16, 2016
According to federal prosecutors, two hedge fund managers–Sanjay Valvani and Christopher Plaford– conspired with a former U.S. Food and Drug Administration official–George Johnston, ...
June 15, 2016
William Bucci, a former stockbroker from Philadelphia, Pennsylvania, pleaded guilty to securities fraud and related charges for thieving around $3 million from investors for an import business that ne...
June 14, 2016
Former broker Brian Smit entered a Letter of Acceptance, Waiver, and Consent, accepting a bar from being associated with any FINRA member in any capacity over engaging in unapproved private securities...
June 9, 2016
FINRA has barred Christopher Tolmacs of Portage, Michigan, alleging that the broker borrowed client funds. The providing of loans or selling of promissory notes and other investments outside of a brok...
June 8, 2016
FINRA fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay over $716,000 to harmed clients for selling leveraged, inverse and inverse-leveraged exchange-traded funds without reas...
June 7, 2016
Recently, two FINRA enforcement officials emphasized at an insurance industry conference that variable annuities, which offer lifetime guaranteed income to investors but can be complicated and expensi...
June 3, 2016
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June 2, 2016
Participants in a Delta Air Lines Inc. 401(k) plan have sued units of Fidelity Investments, alleging a fiduciary breach in Fidelity’s role as record keeper. The suit, Fleming, et al. v. Fidelity...
May 27, 2016
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May 24, 2016
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May 23, 2016
FINRA has barred broker Christopher Burtraw of Lakewood, Colorado, alleging that he borrowed client funds. Burtraw accepted a permanent bar after he failed to provide documents and information sought ...
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