Insights
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 24, 2016
Guy Gentile, the owner of a New York broker-dealer, has been charged with fraudulently inflating the price of two micro-cap stocks before selling them to investors, creating $17.2 million in gross tra...
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...
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 17, 2016
Broker Edward Beyn allegedly received over $1.7 million in commissions and fees by excessively trading his clients’ accounts, or “churning,” while he was a registered representative ...
March 17, 2016
Jeffrey Eldred Gallagher of Bradenton Beach, Florida was sentenced in Springfield, Massachusetts for an investment scheme that defrauded victims out of over $600,000 from 2008 to 2012. According to U....
March 16, 2016
The Frankowski Firm is investigating claims pertaining to Angel E. Aquino-Velez of Miami, Florida, who has been registered with Morgan Stanley since February 2010. Aquino has also been registered with...
March 15, 2016
The Frankowski Firm is investigating Laidlaw broker Ahmad Wares of New York. Wares is the target of several customer complaints, and Ware’s clients who lost money investing with him may be able ...
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...
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