Insights
July 30, 2024
Unethical and deceitful investment schemes are on the rise, having a weighty impact on the financial well-being of those affected. Thus, safeguarding finances from fraud is an essential practice for i...
July 8, 2024
On Feb. 9, 2024, in a significant enforcement action, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment ...
July 3, 2024
In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a whopping fine of $500,000 on Oppenheimer & Co. for failing to properly supervise certain tra...
August 19, 2023
The Securities and Exchange Commission (SEC) has filed charges against Joseph Michael “Mike” Todd and his companies, Todd Financial Services, LLC (TFS), and TFS Insurance Services LLC (TFS...
August 10, 2023
David Wayne Krumrey, a former stockbroker registered with Oppenheimer Co. Inc. and based in The Woodlands, Texas, is facing multiple customer-initiated investment-related arbitration claims, with inve...
August 8, 2023
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March 12, 2023
Former B. Riley Wealth Management Investment Advisors Accused of Wrongdoing That Cost Investors Almost $4 Million. Brian Michael Sterz (CRD# 5333667) was permitted to resign from B. Riely Wealth Manag...
September 16, 2022
The Frankowski Firm is investigating potential claims against former stockbroker Robert Edward “Bob” Wamhoff. Until 2019, Mr. Wamhoff worked for the firm of Calton & Associates, Inc. of Saint Char...
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 18, 2022
Shane Wilhelm, a stockbroker with Fortune Financial Services, Inc. of Moneta, Virginia, has been accused by three separate clients of misrepresenting the assets in their accounts as being “significant...
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