Insights
October 15, 2020
From January 2013 through December 2017, SagePoint Financial Inc. failed to create or maintain a supervisory system or enforce WSPs to supervise the suitability recommendations to customers regarding ...
October 14, 2020
Newport Coast Securities, Inc. was recently expelled from FINRA membership fined $403,000 and ordered to pay $853,617.04 plus interest to customers in restitution for excessively trading in and churni...
October 10, 2020
Citadel Securities established an Over-the-Counter equity trading desk in November 2011 to receive orders from the Firm’s clients on behalf of their customers. The firm’s stated objective was to compl...
October 2, 2020
On September 22, 2020, an arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) made findings against Jason K. Williams (CRD#: 4676003) and entered an award against him exceeding...
October 1, 2020
It was announced on September 29 that JPMorgan Chase agreed to settle with U.S. authorities and will pay fines and penalties to the Commodities Futures Trading Commission and the Securities and Exchan...
September 30, 2020
The Frankowski Firm is investigating potential claims related to investor losses in the Sierra Income Corporation. Sierra is a non-traded business development company (“BDC”). As a non-traded investme...
September 28, 2020
The Financial Industry Regulatory Authority (FINRA) has expelled Sandlapper Securities, LLC , from the securities industry based on FINRA findings that the firm willfully defrauded investors by chargi...
September 11, 2020
The Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA) and the Commodity Futures Trading Commission (CFTC) have announced settlements with Interactive Brokers rela...
August 18, 2020
The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned SagePoint Financial, Inc. for failing to supervise early rollovers in Unit Investment Trusts (“UITs”). A Unit Investment ...
July 14, 2020
New Hampshire’s Bureau of Securities Regulation is investigating Merrill Lynch and one of its former top brokers following customer complaints that alleged misconduct which caused losses exceeding $10...
July 10, 2020
The United States Attorney’s Office for the Middle District of Tennessee has announced charges against former Raymond James financial advisor Frederick M. Stow, of Franklin, Tennessee. According to th...
July 7, 2020
The U.S. Securities and Exchange Commission is investigating two Marin County, California investment companies following the unexpected death of their owner, Ken Casey, in May. The investigation into ...
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