Insights
November 23, 2018
An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”), has entered an Award of over $564,000 , plus interest, against UBS Financial Services, Inc. and UBS Financial Services, I...
November 21, 2018
The Financial Industry Regulatory Authority (“FINRA”) has entered an Acceptance Waiver and Consent letter against Cheryl Ann Stallings, formerly of LPL Financial, LLC. According to FINRA’s factual fin...
November 16, 2018
The Financial Industry Regulatory Authority (“FINRA”) entered an Acceptance, Waiver, and Consent (“AWC”) letter today against former Waddell & Reed broker Robert Lee Basile, who worked in Waddell ...
November 13, 2018
An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”), has entered an Award of over $360,000 , plus interest, against Wells Fargo Advisors, LLC following a customer arbitration...
November 10, 2018
A Financial Industry Regulatory Authority (FINRA) arbitration panel has entered a $300,000 award against Moloney Securities, Inc. and Moloney Securities Asset Management, LLC, of St. Louis, Missouri. ...
November 7, 2018
Former NEXT Financial advisor Douglas Simanski, of Johnstown, Pennsylvania, will pay $3.9 million to settle SEC charges against him and will plead guilty to criminal charges filed against him in the W...
November 2, 2018
According to court documents, Robert Shapiro, the former CEO of Woodbridge Group of Companies, has agreed to pay $120 million to the Securities and Exchange Commission to settle allegations that he de...
November 1, 2018
Ami Forte, once a star Morgan Stanley advisor with over $2 billion in assets under management, is out at Pinnacle Investments as of October 17, according to her FINRA BrokerCheck report . Forte’s depa...
October 18, 2018
A Financial Industry Regulatory Authority (“FINRA”) arbitrator issued an Award yesterday in a simplified (paperwork-only) arbitration ordering Cetera Advisors, LLC to repay a claimant $43,500 out of h...
October 2, 2018
LJM Partners, out of Chicago, Illinois, saw massive losses to its LJM Preservation and Growth Fund (“LJMIX”) in February, losing over 82 percent of the Fund’s value in a single week. The Fund held ris...
September 14, 2018
The Securities and Exchange Commission has filed a Complaint seeking monetary and injunctive relief against 1 Global Capital, LLC and its Chairman and CEO, Carl Ruderman, along with the Ruderman Famil...
September 13, 2018
LJM Partners LJM Partners, out of Chicago, Illinois, saw massive losses to its LJM Preservation and Growth Fund in February, losing over 82 percent of the Fund’s value in a single week. The Fund held ...
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