Insights
July 30, 2019
The Financial Industry Regulatory Authority (“FINRA”) has imposed a permanent ban against former Morgan Stanley and Wells Fargo broker Robert Frederico Montes, who most recently worked in Morgan Stanl...
July 26, 2019
The Financial Industry Regulatory Authority (“FINRA”) has imposed a regulatory fine and a one year suspension against former Wells Fargo broker Michael David Garris, formerly of Wells Fargo’s Los Ange...
July 23, 2019
Charles Kenahan Former New Hampshire governor Craig Benson has filed a $42.2 million claim against his Merrill Lynch broker, Charles Ernest Kenahan, of Newport, Rhode Island, according to Investment N...
July 21, 2019
GPB CAPITAL HOLDINGS The Frankowski Firm is investigating claims related to the GPB Capital Holdings family of investment funds. Last month, GPB Capital reported “ significant losses ” in its funds wi...
June 20, 2019
Wedbush Securities Inc. will pay $8.1 million to settle SEC charges that it mishandled “pre-released” American Depository Receipts (ADRs), according to an SEC press release . ADRs are U.S. securities ...
May 20, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against Morgan Stanley Smith Barney, LLC and entered an award against the firm of over $500,000 in favo...
May 9, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $1.4 million award against Pershing, LLC for its role as a custodian and clearing firm in the R. Allen Stan...
May 7, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against AXA Advisors, LLC and entered an award against the firm exceeding $3.2 million in favor of a Ne...
May 3, 2019
A panel of arbitrators of the Financial Industry Regulatory Authority (“FINRA”) has entered a unanimous decision against Morgan Stanley and its broker, Michael Lee Canney, of Des Moines, Iowa. The com...
April 30, 2019
The Securities and Exchange Commission has charged Christopher Dougherty and his firm C&D Wealth Management, of the San Diego area, with running a Ponzi scheme which defrauded investment advisory ...
April 23, 2019
Three executives for the Woodbridge Group of Companies, Robert H. Shapiro, Dayne Roseman, and Ivan Acevedo, have been arrested and charged with conspiring to commit wire and mail fraud as well as mone...
April 11, 2019
One of UBS’s former top brokers in Puerto Rico, Jose Ramirez, has been sentenced to one year and a day following his guilty plea in a bank fraud case involving Puerto Rico closed-end bond funds. Accor...
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