Insights
March 21, 2016
A number of trading and clearing blunders by Wedbush Securities Inc. pertaining to a customer’s redemption activity and trading of leveraged ETFs has led FINRA and the NASDAQ Stock Market to fin...
March 18, 2016
An ex-JPMorgan Chase financial advisor from Livingston, New Jersey pleaded guilty to embezzlement and securities fraud in connection to a $22 million investment fraud that lasted seven years. Prosecut...
March 14, 2016
Genworth Financial Inc. has settled a class-action lawsuit alleging misrepresentations regarding its long-term-care insurance business for $219 million. Genworth, which is the biggest long-term-care i...
March 14, 2016
Two North Carolina investors have filed an arbitration claim with FINRA against Morgan Stanley over unsuitable investments involving the firm’s Cushing MLP High Income Exchange Traded Note. The marrie...
March 9, 2016
Keith Michael Rogers, a financial advisor from Huntsville, Alabama, pleaded guilty to one count of fraud in connection with the sale of securities, according to the Alabama Securities Commission. Spec...
February 25, 2016
According to the Public Investors Arbitration Bar Association (PIABA), FINRA is failing to help investors collect arbitration awards for damages from the brokers. Seventy-five FINRA arbitration awards...
February 23, 2016
FINRA barred broker George Johnson from the securities industry for operating a manipulative trading scheme to artificially inflate the market price and trading volume for the common stock of IceWEB, ...
February 17, 2016
The Frankowski Firm is investigating complaints regarding and the termination of former Questar Capital Corporation advisor Kevin Wanner. The complaints allege that The North Dakota Securities Departm...
February 12, 2016
FINRA recently filed an amended complaint against Craig Scott Capital, LLC and its co-founders, Craig Scott Taddonio and Brent Morgan Porges, alleging, among other things, excessive trading, churning,...
February 10, 2016
FINRA issued a new investor alert warning that advertisements touting higher-than-average Certificate of Deposit yields might actually be a lure to trick investors into buying costly investments. R...
February 9, 2016
FINRA charged a broker for lying to a Native American tribe about the $11 million in commissions he charged when he sold the tribe $190 million in nontraded real estate investment trusts and business ...
February 8, 2016
Stephens, Inc. submitted a letter of Acceptance, Waiver, and Consent to FINRA for failing to apply sales charge discounts to certain customers’ eligible purchases of unit investment trusts (R...
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