Insights
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 ...
August 2, 2022
The Financial Industry Regulatory Authority (“FINRA”) has suspended First Allied Securities broker Brian Donnelly for four months beginning June 22, 2022, following an investigation into m...
July 28, 2022
Jeremy Fortner, former Wells Fargo-associated stockbroker in Beverly Hills, California has been barred by the Financial Industry Regulatory Authority (FINRA) because he failed to provide information o...
July 25, 2022
Ronald Molo, a former stockbroker with Edward Jones, has been barred by Financial Industry Regulatory Authority (“FINRA”) for failing to respond to a request for information regarding a customer’...
June 2, 2022
A Ponzi scheme is a kind of investment fraud in which earlier investors get returns using money obtained from later ones. In a typical Ponzi scheme, the fraudster promises investors a high rate of ret...
May 12, 2022
Ann Vanderslice, a/k/a Ann Werts has been named in a $250,000 FINRA arbitration claim brought by a customer alleging that Ms. Vanderslice made unsuitable investment recommendations and failed to do du...
May 10, 2022
Alabama Securities Commissioner Joseph Borg has brought a lawsuit against Financial Industry Regulatory Authority (“FINRA”) arbitrator Harvey Linder, alleging that Mr. Linder engaged in “fraud, corrup...
May 5, 2022
According to Investment News , Tony Barouti, a stockbroker registered with Emerson Equity and based in Los Angeles, California, has been hit with a $1.37 million arbitration claim from customers who l...
May 4, 2022
For more information on how to recover your losses in GWG Holdings Inc.’s L Bonds, please visit www.gwgclaims.com...
May 3, 2022
As previously covered in this space , GWG Holdings, Inc., a financial services firm based in Dallas, Texas, filed for bankruptcy on Wednesday, April 20. The bankruptcy followed the company’s failures ...
April 28, 2022
WestPark Capital clients who were sold GWG Holdings L bonds may have the right to pursue legal claims to recover their losses in the risky, illiquid investments. WestPark Capital, a broker dealer head...
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