Insights
May 30, 2014
On May 15, the SEC filed a complaint against Behrooz Sarafraz in California federal court, alleging that Sarafraz violated federal securities laws by acting as an unregistered broker dealer, selling s...
May 7, 2014
A couple from Long Island who lost over $5 million in a scheme perpetrated by Mark C. Hotton, at stock broker who worked for Oppenheimer and Company. Mr. Hotton became infamous after he defrauded prod...
April 28, 2014
ICON Leasing Funds are currently being investigated as broker-dealers may have sold funds without performing adequate due diligence when recommending them to clients. The funds engaged in the acquisit...
April 21, 2014
Last week, the SEC filed charges against a San Diego investment advisory firm called Total Wealth Management, its Chief Executive Officer, Chief Compliance Officer, and an investment adviser represent...
April 18, 2014
National and State Resources Run a FINRA check on your broker or brokerage firm by clicking here. You can view FINRA Regional Office Locations or click on a state below to view the resources specific ...
April 16, 2014
Should brokers be required to act in the best interest of their clients when providing personalized investment advice, including recommendations about securities, to retail investors? The answer to th...
March 24, 2014
Several brokerage firms have stopped selling leveraged exchange traded funds (ETFs) after the Financial Industry Regulatory Authority Inc. warned brokers that they “typically are unsuitable for ...
March 17, 2014
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory organization, a non-governmental organization that performs financial regulation of member brokerage firms and exchange m...
March 14, 2014
The Securities and Exchange Commission has charged global investment bank and brokerage firm Jefferies LLC with failing to supervise its employees who sold mortgage-backed securities desk and were in ...
March 7, 2014
A group of securities and investment attorneys has asked Congress to provide more information to consumers about the brokers that handle their money. FINRA does not go as far as some U.S. state securi...
February 24, 2014
Last week, Scottrade Inc. became the latest entity to admit wrongdoing in connection with settling SEC charges. In a January 29, 2014 administrative order, the brokerage firm not only agreed to a $2.5...
October 24, 2013
Investment advisory firm, Harding Advisory, LLC, and its owner were charged recently by the SEC for misleading investors and breaching their fiduciary duties. According to a recent press release , the...
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