Insights
January 24, 2022
Credit Suisse Securities has been fined $9 million by the Financial Industry Regulatory Authority (“FINRA”) for failing to maintain possession or control of billions of dollars of fully paid and exces...
January 17, 2022
Donna Jean Hines ( CRD #4275524 ) was barred by FINRA from serving as a financial advisor in all capacities in November 2021 after refusing to appear for on-the record testimony. FINRA requested Hines...
January 13, 2022
Jeffrey Dampf (CRD #5676205) was barred from association with FINRA in all capacities on October 1, 2021. FINRA issued an Acceptance, Waiver, and Consent for Dampf after he refused to provide on-the-r...
January 10, 2022
WestPark Capital, of Los Angeles California, and its CEO, Richard Rappaport, have been sanctioned and fined $280,000 collectively by the Financial Industry Regulatory Authority (“FINRA”) for misrepres...
January 6, 2022
Merrill Lynch has been fined $1.5 million by the Financial Industry Regulatory Authority (“FINRA”) for its failure to implement written supervisory procedures and systems reasonably designed to achiev...
January 3, 2022
NYLIFE Securities LLC has been censured and fined by the Financial Industry Regulatory Authority (“FINRA”). According to FINRA’s findings of fact , NYLIFE failed to take reasonable steps to review its...
November 17, 2021
On October 28, 2021, the Securities and Exchange Commission (SEC) charged Kenneth Welsh with stealing approximately $3 million from his clients. Welsh allegedly used the money to buy gold coins and ot...
September 1, 2021
The SEC has filed an emergency action to stop an alleged decade-long Ponzi scheme perpetrated by John Woods. The report claims that Woods raised more than $110 million from over 400 investors . The in...
September 1, 2021
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August 18, 2021
The SEC has obtained a court order to stop Santa Fe, New Mexico financial advisor Martin Adrian Ruiz’s alleged ongoing offering fraud. According to the SEC complaint , Ruiz induced at least 56 investo...
August 13, 2021
Dwight Dykstra (“Dykstra”), a Maitland, Florida stockbroker, has been suspended from acting as a broker for one year by the Financial Industry Regulatory Authority (“FINRA”). Dykstra allegedly engaged...
July 9, 2021
Xiangyu “Sean” Zhang has been indefinitely barred from association with any Financial Industry Regulatory Authority (“FINRA”) member in all capacities as of August 2019. Zhang was previously registere...
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