Insights
March 26, 2019
Hector May Ponzi Scheme Results in Guilty Plea and Lawsuit Former Securities America, Inc. broker Hector Anthony May, of New City, NY, pleaded guilty last December to running a $7.9 million Ponzi sche...
March 15, 2019
The Securities and Exchange Commission has entered an Order permanently barring Atlas Capital Management adviser Craig Arsenault, of Laguna Niguel, California, for defrauding his clients. The SEC Comp...
March 12, 2019
The Securities and Exchange Commission has entered an Order permanently barring former Wells Fargo Advisors broker John Gregory Schmidt, of Dayton, Ohio, from the securities industry. The SEC’s Order ...
March 8, 2019
BB&T Settles Misleading Client Claims for $5 Million The Securities and Exchange Commission has entered an Order finding that Valley Forge Asset Management, as a division of BB&T Securities, ...
March 5, 2019
The Securities and Exchange Commission has entered an Order permanently barring Staten Island, New York-based broker William C. Gennity from the securities industry. The SEC’s Order includes findings ...
February 27, 2019
A federal jury in Chicago, IL has entered a guilty verdict against Shawn Baldwin , a former owner of various investment firms in the Chicago area, on charges that he swindled at least fifteen investor...
February 22, 2019
The Financial Industry Regulatory Authority (“FINRA”) has suspended Middleton, Massachusetts broker Bruce C. Worthington from the securities industry in all capacities following allegations that he mi...
February 19, 2019
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Floyd Powell , of Albertville, Alabama, from the securities industry based on findings that he engaged in undisclosed and unappr...
February 15, 2019
The Financial Industry Regulatory Authority (“FINRA”) has made findings against Kestra Financial Services, LLC of Austin, Texas and censured and fined the firm for overcharging mutual fund investors a...
February 9, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) awarded two retired schoolteachers a combined $2.38 million in an arbitration based on the teachers’ claims of excessive ...
February 9, 2019
FINRA EXAMS TO INCLUDE COMPLIANCE WITH ELDER ABUSE RULES The Financial Industry Regulatory Authority (“FINRA”), the self-regulatory organization which enforces rules governing the activities of all re...
February 6, 2019
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has entered an award of over $276,000 against Quest Capital Strategies, Inc. , of Lake Forest, California. The case centered aroun...
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