Insights
June 22, 2016
FINRA has suspended former LPL Financial broker and supervisor Peter Neuberg for six months and has fined him $15,000 after failing to reasonably supervise a registered representative, according to th...
June 21, 2016
Three professional athletes–Denver Broncos’ quarterback Mark Sanchez, San Francisco Giants’ pitcher Jake Peavy, and former major league pitcher Roy Oswalt–are the victims of an...
June 17, 2016
Massachusetts Mutual Life Insurance Co. has agreed to a nearly $31 million settlement in an excessive-fee lawsuit regarding the company’s 401(k) retirement plan. By doing so, MassMutual joins Fi...
June 17, 2016
Haena Park, a New York foreign exchange trader, has been charged with investor fraud, claiming her investments were profitable when she actually lost over $16 million since 2012. The SEC claims Park m...
June 16, 2016
According to federal prosecutors, two hedge fund managers–Sanjay Valvani and Christopher Plaford– conspired with a former U.S. Food and Drug Administration official–George Johnston, ...
June 15, 2016
William Bucci, a former stockbroker from Philadelphia, Pennsylvania, pleaded guilty to securities fraud and related charges for thieving around $3 million from investors for an import business that ne...
June 14, 2016
Former broker Brian Smit entered a Letter of Acceptance, Waiver, and Consent, accepting a bar from being associated with any FINRA member in any capacity over engaging in unapproved private securities...
June 10, 2016
Jerome “Joe” Bonnett, a longtime financial advisor from Omaha, Nebraska who was accused by state officials of misappropriating over $1.35 million of client funds, has committed suicide. [s...
June 9, 2016
FINRA has barred Christopher Tolmacs of Portage, Michigan, alleging that the broker borrowed client funds. The providing of loans or selling of promissory notes and other investments outside of a brok...
June 8, 2016
FINRA fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay over $716,000 to harmed clients for selling leveraged, inverse and inverse-leveraged exchange-traded funds without reas...
June 7, 2016
Recently, two FINRA enforcement officials emphasized at an insurance industry conference that variable annuities, which offer lifetime guaranteed income to investors but can be complicated and expensi...
June 3, 2016
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