Insights
May 18, 2016
FINRA has fined two units of Raymond James Financial Inc. with a record $17 million in fines for rampant compliance failures in the brokerage’s anti-money laundering programs. The two units, Ray...
May 18, 2016
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May 13, 2016
In a recent SEC press release , Jason Galanis, his father John Galanis, and five others were charged with stealing millions of dollars from investors. The Securities and Exchange Commission press rele...
April 29, 2016
Jason Todd Caudle of Sylacauga, Alabama has been indicted for alleged securities fraud, following a March 11, 2016 arrest. The grand jury issued a five-count indictment. On the same day, Caudle posted...
April 25, 2016
FINRA has barred James Van Doren from the securities industry for unethical conduct. Van Doren was allegedly involved in money laundering and operating a scheme to deceive a friend’s creditors a...
April 20, 2016
Guy Gentile of Putnam Valley, New York allegedly ran a $17 million pump-and-dump stock scheme. Gentile faces federal counts of securities fraud and conspiracy to commit securities fraud. He was indict...
April 14, 2016
The Frankowski Firm is investigating ex-broker Jerry McCutchen. If you purchased real estate investment trusts (“REITs”) from him and lost money, you may have grounds to bring a securities...
April 8, 2016
The Frankowski Firm is investigating complaints regarding Texas-based Cetera Advisors broker James Hayne (CRD# 3257845). He has spent sixteen years in the securities industry and has been registered w...
April 5, 2016
FINRA charged David Randall Lockey, a former broker, with profiting as a result of improper trading of customer accounts over a span of nearly two years. According to FINRA’s complaint, Lockey “...
March 30, 2016
Dennis D. Bailey of Bel Aire, Kansas has been sentenced to five years in prison for securities fraud. In addition to his 61 month prison sentence, Bailey was ordered to pay $875,000 in restitution. Th...
March 25, 2016
A FINRA arbitration panel ordered UBS Group AG’s wealth management business for the Americas to pay over $470,000 to three investors who claimed damages because their accounts were over-concentr...
March 23, 2016
James Poe, a Forth Worth, Texas-based adviser and president of Jim Poe & Associates, Inc. has been barred by Texas state securities regulators from acting as an investment adviser representative a...
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