Insights
August 28, 2023
The Securities and Exchange Commission (SEC) has brought charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated, and its parent company BAC North America Holding Co. (BACNAH) due to th...
August 22, 2023
In an urgent response, the Securities and Exchange Commission (SEC) has taken decisive action to halt an alleged Ponzi scheme operated by Nayeem Choudhury, a resident of Durham, North Carolina, and hi...
August 21, 2023
The Securities and Exchange Commission (SEC) recently concluded its investigation and reached a settlement with RSE Markets Inc. regarding allegations of operating as an unregistered securities exchan...
August 9, 2023
UBS Financial Services Inc. (“UBS”) recently settled charges with the Securities and Exchange Commission (“SEC”) concerning its failure to adopt and implement suitable investme...
August 3, 2023
SEC has taken action against Royal Alliance Associates The Securities and Exchange Commission (SEC) has taken action against Royal Alliance Associates (RAA) due to substantial losses suffered b...
August 2, 2023
FINRA Warned of Risks of VIX-Linked Exchange Traded Products A recent spike in stock market volatility has brought into focus the enormous risks associated with certain exchange-traded-products...
September 16, 2022
Oppenheimer & Co., Inc. has been hit with a $36.7 million award against it, issued by a panel of arbitrators with the Financial Industry Regulatory Authority (“FINRA”). The arbitration arose from ...
September 1, 2022
Michael Todd, of Crystal River, Florida, has been fired by Centaurus Financial, Inc. after failing to cooperate with an investigation into a customer’s complaint, according to his FINRA BrokerCh...
August 29, 2022
The Financial Industry Regulatory Authority (“FINRA”) has barred former T3 Trading Group stockbroker Suresh Kumar, of Mission, Kansas, from ever working or associating as a FINRA registere...
August 22, 2022
David N. Wood, a stockbroker with Moloney Securities, Inc.’s Manchester, Missouri office, is the subject of a $600,000 customer complaint filed with the Financial Industry Regulatory Authority (“FINRA...
August 15, 2022
John Dennis Lowry, the owner of Spartan Capital Securities, LLC of New York, New York, has been named as a party in a pending FINRA Disciplinary Proceeding, according to his FINRA BrokerCheck Report ....
August 8, 2022
Michael Castillero has been named by the Securities and Exchange Commission in a stock fraud civil action alleging that Castillero and his partners offered pre-Initial Public Offering (IPO) of shares ...
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