Recover Investment
Losses Nationwide
Losses Nationwide
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- 2025-05-20: David Lerner Associates Sanctions
- 2025-05-01: GWG L Bonds
- 2025-04-02: GWG L Bonds Update (2025)
- 2025-03-07: GWG L Bond Settlement
- 2025-03-07: SEC/Momentum Advisors Settlement
- 2025-03-07: Baker Tilly / Block 216 Investigation
- 2025-03-05: David Jerke FINRA Bar
- 2025-03-04: Broker Misconduct Uncovered: The Case of William King and What It Means for Investors
- 2025-03-03: Holland & Knight Sued for $150 Million: What It Means for GWG L Bondholder
- 2025-03-03: UBS Hit with $92 Million FINRA Arbitration Award Over Risky Tesla Short Strategy
- 2024-08-01: Western International Securities and Lifemark Securities Corp. Settle Alleged Regulation Best Interest Violations Related to the Sale of GWG L Bonds
- 2024-07-17: The SEC Issues First Whistleblower Award of 2024, Awarding $37 Million to Whistleblower
- 2024-02-22: Emerson Equity Appears to Have Paid Over $6 Million in Defending and Settling GWG L Bond Claims
- 2024-02-21: Iorio Altamirano Llp Investigates Ausdal Financial Partners, Inc. For the Sale of GWG L Bonds
- 2024-02-16: GWG L Bonds Update: GWG Wind Down Trust Files Quarterly Report (February 15, 2024)
- 2023-11-15: Iorio Altamirano LLP Continues to Investigate Centaurus Financial for the Sale of GWG L Bonds
- 2023-10-06: “I Continue to Believe That the [gwg] L Bondholders Will Lose a Very Large Percentage of Their Investments” – Bankruptcy Judge Marvin Isgur
- 2023-09-28: David Lerner Associates Customers Seek up to $1 Million in Damages for Energy 11, Energy 12, and Spirit of America Energy Fund (SOAEX) Investments
- 2023-09-26: Navigating Finra Arbitration: A Closer Look at Securities Dispute Resolution
- 2023-08-02: GWG’s Bankruptcy Plan Goes into Effect; GWGL Bonds Canceled
- 2023-07-14: GWG Bankruptcy Update (July14, 2023): The Residual Value of the GWG L Bonds Remains Suspect as Beneficient Receives a Wells Notice from the SEC
- 2023-06-07: Former GPB Capital Executive Pleads Guilty to Wire Fraud
- 2023-05-10: Former Morgan Stanley Broker Michael R. Neill Suspended
- 2023-05-10: Centaurus Financial Sanctioned and Fined by Regulators for Supervisory Failures for the Second Time in Three Months
- 2023-05-05: Whistleblower Award Alert: The SEC Awards Record $279 Million to Whistleblower
- 2023-04-22: What L Bondholders Need to Know About GWG Holdings, Inc. ’s Chapter 11 Plan
- 2023-04-17: GWG Bankruptcy Update (April17, 2023): Liquidation Options Become Clearer as Recovery for Bondholders Remain Uncertain
- 2023-04-06: Heath Goldstein and Western International Securities: Iorio Altamirano Llp Investigating the Sale of Gwg L Bonds – Clark Summit, Pa
- 2023-03-28: Roshan Perera: SEC Charges Former Aegis Capital Broker with Fraud – Long Island, NY
- 2023-03-14: GWG Bankruptcy Update (March14, 2023): GWG Appears to Be Headed Toward Liquidation
- 2023-02-11: GWG Bankruptcy Update (February 11, 2023): GWGProposes Liquidation in Its Amended Reorganization Plan
- 2023-02-01: Broker-Dealers Sold GWG L Bonds Using Aggressive and Misleading Marketing
- 2023-01-31: SEC Finds That Some Broker-Dealers Are Using Outdated, Incomplete, and Inaccurate Risk Disclosures
- 2022-12-28: “GWG Was a Classic Ponzi Scheme” – Official Committee of Bondholders of GWG Holdings, Inc.
- 2022-10-27: GWG Bankruptcy Update: Questions Remain as to When, or If, GWG L Bond Investors Will Receive Future Distributions
- 2022-09-15: Western International Securities Denies Violating Regulation Best Interest in Recommending and Selling Risky and Illiquid GWG L Bonds to Retail Investors
- 2022-07-25: Newbridge Securities Corporation’s Customers Who Purchased GWG L Bonds Are Worried About Their Invested Capital
- 2022-07-19: GWG Could Sell Its Portfolio of Life Insurance Policies for $610 Million, $1 Billion Less Than It Owes to GWG L Bond Investors
- 2022-07-14: Law Firm Investigating Dempsey Lord Smith, LLC for the Sale of GWG L Bonds and GPB Capital Funds
- 2022-07-08: Law Firm Investigating National Securities Corporation for the Sale of GWG L Bonds and GPB Capital Funds
- 2022-07-08: Certified Financial Planner Board Suspends Western International Securities Broker Patrick Egan After SEC Charges Related to Selling GWG L Bonds
- 2022-06-23: New York Law Firm Investigating the Sale of GWG L Bonds to Retail Investors by Great Point Capital LLC
- 2022-06-16: GWG L Bond Investor Recovers Losses After Filing a FINRA Arbitration Claim
- 2022-06-15: Law Firm Investigating the Sale of GWG L Bonds to Retail Investors by Aegis Capital Corp
- 2022-06-08: SEC to Seek Receivership for GPB Capital
- 2022-05-18: GWG Holdings, Inc. to Be Delisted from the Nasdaq Stock Market; Law Firm Investigates Legal Claims for GWG L Bond Investors
- 2022-05-04: Law Firm Investigating the Sale of GWG L Bonds to Retail Investors by Western International Securities, Inc.
- 2022-04-20: GWG L Bond Investors Seek Recourse After GWG Holdings, Inc. Files for Chapter 11 Bankruptcy
- 2022-04-15: GPB Investors Worried After GPB Automotive’s 10-K Annual Report Filing
- 2022-04-01: GWG Holdings, Inc. Misses Deadline to File Its 2021 Annual Report with the SEC
- 2022-02-14: GWG L Bond Investor Update: GWG Holdings, Inc. Officially Defaults on Its Obligations to L Bond Investors – February 14, 2022
- 2022-02-09: Law Firm Iorio Altamirano Llp Investigating the Sale of GWG L Bonds by Mark Williams, Formerly of Centaurus Financial, Inc.
- 2022-02-01: Investor Alert: Law Firm Iorio Altamirano Llp Investigates the Sale of L Bonds by Centaurus Financial, Inc
- 2022-01-29: Law Firm Iorio Altamirano LLP Investigating the Sale of GWG L Bonds by Tony Barouti of Emerson Equity LLC
- 2022-01-29: Investor Alert: Law Firm Iorio Altamirano LLP Investigates the Sale of L Bonds by Emerson Equity LLC
- 2022-01-25: When to Consult a Lawyer After Sustaining Investment Losses
- 2022-01-20: Investors Worried After GWG Holdings Inc.’s “L Bonds” Missed Interest Payments on January 15, 2022
- 2021-12-23: The Founder and Former CEO of GPB Capital Now Wants GPB Capital to Pay Legal Fees to Defend Him Against Criminal and Civil Fraud Charges
- 2021-11-19: Steven Musielski, Formerly with Cambria Capital, Llc, Barred by Finra – Anaheim, Ca
- 2021-11-18: GPB Investors Have Won Monetary Awards in 10 of 11 Arbitration Cases This Past Year
- 2021-11-16: Investor Update: Energy 11, L.p.’s Substantial Debt and Missed Accrued Distributions Could Take Years to Pay Off
- 2021-11-16: Gpb Automotive Portfolio, Lp Files 10-Q with SEC; Future Remains Uncertain for Gpb Automotive Investors
- 2021-11-11: Iorio Altamirano Llp Files Gpb Automotive Claim Against Aegis Capital Corp
- 2021-11-10: Aegis Capital Corp. Ordered to Pay Nearly $2.7 Million for Supervisory Failures Related to Rampant Excessive and Unsuitable Trading
- 2021-11-09: Broker Leonard Marzocco, Formerly of Woodstock Financial Group, Inc. And First Standard Financial Llc, Suspended by Finra
- 2021-11-08: Former Joseph Stone Capital L. L.c. Broker, Michael May, Suspended for Excessive and Unsuitable Trading
- 2021-10-29: SEC Accuses Former Wells Fargo Broker Kenneth A. Welsh of Stealing Investor Funds
- 2021-10-29: Iorio Altamirano Llp Investigates Joseph Stone Capital Broker Leonid (lenny) Yurovsky for Churning, Excessive Trading, and Unsuitable Investment Recommendations
- 2021-10-07: Gpb Capital Founder Seeks Millions in Distributions from Fund Investors That He Allegedly Defrauded
- 2021-09-24: Whistleblower Award Alert: The SEC Awards $36 Million to Whistleblower
- 2021-09-20: Two More Wins for Ubs Yield Enhancement Strategy (yes) Customers, Fourth and Fifth Awards in 2021
- 2021-09-16: The SEC Has Awarded Over $1 Billion to Whistleblowers
- 2021-09-14: Gpb Automotive Portfolio, Lp to Sell Prime Automotive for $880 Million, Which Generated $1.8 Billion in Annual Revenue in 2020; Gpb Automotive’ S Future Remains Uncertain
- 2021-09-08: Santander Investment Securities Inc. Sanctioned by Finra for Publishing and Distributing Inaccurate and Incomplete Research Reports to Institutional Investors
- 2021-09-03: Sw Financial Broker, Joseph Lianzo, Suspended by Finra for Excessively Trading Customers’ Accounts and Placing Unauthorized Trades
- 2021-09-01: Did Robinhood Employees Trade Gamestop and Amc Before Robinhood’s Public Announcement to Restrict Trading on January 28, 2021?
- 2021-09-01: Robinhood’s Amended Registration Statement Discloses That Robinhood Is Facing Numerous Lawsuits, Customer Arbitrations, and Regulatory Investigations
- 2021-08-31: Whistleblower Awards Alert: The SEC Awards $2.6 Million to Four Whistleblowers
- 2021-08-26: Former Worden Capital Management Llc Broker, Donald Fowler, Barred by Finra for Churning and Excessively Trading Four Customers’ Accounts
- 2021-08-25: SEC Charges John Woods of Southport Capital with Operating $110 Million Ponzi Scheme by Selling Units of Horizon Private Equity, Iii, Llc
- 2021-08-24: Another Win for Ubs Yield Enhancement Strategy (yes) Customers, Third Award in 2021
- 2021-08-24: Gpb Automotive Portfolio, Lp to Sell Prime Automotive as Its Future Remains Uncertain; Investors Encouraged to Act Now
- 2021-08-20: Former National Securities Corporation Broker, William Wright, Barred by Finra – New York, Ny
- 2021-08-20: Debasish Hajra, Formerly of Wells Fargo, Suspended by Finra – Marietta, Georgia
- 2021-08-20: Two Former Woodstock Financial Group, Inc. Brokers Suspended by Finra for Unsuitable Trades
- 2021-08-20: Energy 11, L. P., a Limited Partnership Sold Exclusively by David Lerner Associates, Inc., Not Likely to Resume Distributions to Investors Anytime Soon
- 2021-08-16: Gpb Capital Investor Recovers Full Investment Through Finra Arbitration Award
- 2021-08-16: Jason Seale of American Wealth Management, Inc. Suspended by Finra – Novato, California
- 2021-08-13: Former Worden Capital Management Llc Broker, John Cangialosi, Suspended by Finra for Excessively Trading 3 Accounts
- 2021-08-13: World Choice Securities Broker, Thomas Stratton, Barred by Finra – Melbourne, Florida
- 2021-08-12: Former Worden Capital Management Llc Principal, Henry Bones Ii, Suspended by Finra – New York, Ny
- 2021-08-10: Former Joseph Stone Capital L. L.c. Broker, Eugene Mcadams, Barred by Finra
- 2021-08-10: Whistleblower Awards: The SEC Awards $9.5 Million to Six Whistleblowers in Less Than a Week
- 2021-08-03: Whistleblower Award Alert: The SEC Awards in Excess of $4 Million to Four Whistleblowers
- 2021-07-21: Former Valic Financial Advisors, Inc. Broker, Enoch Booth, Barred by Finra – Columbia, South Carolina
- 2021-07-21: Whistleblower Award Alert: The SEC Awards Nearly $3 Million to Whistleblower
- 2021-07-20: Ubs Settles with SEC Over Unsuitable Vxx Investments
- 2021-07-20: The SEC Announces $1 Million to Whistleblower Award, Bringing 2021 Total to Over $200 Million
- 2021-07-12: Another Aegis Capital Corp. Broker (douglas Szempruch) Suspended for Excessive Trading and Unauthorized Trading
- 2021-07-09: Update: Former Aegis Capital Corp Broker, Kishan (sean) Parikh, Suspended by Finra for Excessive Trading and Unauthorized Trading
- 2021-07-09: Gwn Securities Broker, Ronald Giovino, Barred by Finra – Clearwater, Florida
- 2021-07-07: Iorio Altamirano Llp Investigates Sanctuary Securities, Inc. (formerly David A. Noyes & Company) Over Inverse and Leveraged Exchange-Traded Funds Supervisory Failures
- 2021-07-07: Sagepoint Financial Broker, Gary Bowman, Suspended by Finra for Short-Term Trading of Unit Investment Trusts in Customer Accounts
- 2021-07-07: Former Wells Fargo Broker, Tyler Rigsbee, Barred by Finra
- 2021-07-06: Bloomington, Minnesota Financial Advisor, John Swon, Formerly of Royal Alliance Associates and Focus Financial, Barred by Finra
- 2021-07-06: Medford, Oregon Financial Advisor, Juan Ceja, Formerly of Pfs Investments Inc, Barred by Finra
- 2021-07-02: Stu Pearl, Former David A. Noyes & Company Broker, Suspended for Making Unsuitable Non-Traditional Etf Investment Recommendations – Indianapolis, In
- 2021-07-01: Former Worden Capital Management Llc Broker, Christopher Orlando, Barred by Finra for Excessively Trading 13 Accounts
- 2021-07-01: Takeaways from Robinhood’s Ipo Filing
- 2021-06-30: Whistleblower Awards, Week of June 21 – 25, 2021
- 2021-06-30: Breaking News: Robinhood Ordered to Pay $70 Million, the Largest Financial Penalty Ever Ordered by Finra
- 2021-06-30: Joseph Stone Capital L. L.c. Broker Suspended by Finra
- 2021-06-29: Columbia, Missouri Broker, Alex Perry, Formerly of Stifel, Nicolaus & Company, Barred by Finra
- 2021-06-22: Farmers Financial Solutions, Llc Sanctioned by Finra
- 2021-06-22: Alabama Financial Advisor, Kevin Mccallum, Formerly of Lpl Financial, Suspended for One Year for Making Unsuitable Investment Recommendations
- 2021-06-21: Jackson, Mississippi Investor Wins Arbitration Claim Against E*trade Securities Llc
- 2021-06-18: Finra Files Enforcement Action Against Financial Broker Michael Giovannelli, Formerly of Spartan Capital Securities, for Unauthorized Trades in an Elderly Customer’s Account
- 2021-06-18: Former Folger Nolan Fleming Douglas Incorporated Broker, Marc Lippman, Barred by Finra – Washington, Dc
- 2021-06-16: Finra Files Enforcement Action Against Marc Reda of Spartan Capital Securities
- 2021-06-16: June 14, 2021: The SEC Awards $3 Million to Two Whistleblowers
- 2021-06-14: Former Worden Capital Management Broker, Salvatore Pizzimenti, Barred by Finra – New York, New York
- 2021-06-10: Broker Spotlight: Philip Connors of Worden Capital Management Llc – New York, Ny
- 2021-06-10: Broker Spotlight: David Murray of Worden Capital Management Llc – New York, Ny
- 2021-06-08: Former Ubs Broker, Ricardo Turlan, Suspended by Finra – San Antonio, Texas
- 2021-06-03: Boiler Room Broker, James Flower, Barred by Finra for Excessive Trading, Churning, Unauthorized Trading, Mismarking Orders, and Targeting Elderly Investors
- 2021-06-02: The SEC Announces Awards of $13 Million and $10 Million to Two Whistleblowers
- 2021-06-02: Investor Alert: Finra Files Enforcement Action Against Broker-Dealer Nyppex, Llc, and Two Executives Alleging They Made Material Misrepresentations and Omissions to Prospective Investors of Nyppex Holdings
- 2021-05-31: Broker Spotlight: Ross Barish of Joseph Stone Capital L.l.c. – Mineola, Ny
- 2021-05-31: Former Oppenheimer Broker, Jeffrey Warren, Barred by Finra – Boca Raton, Florida
- 2021-05-27: Finra Arbitration Award: Westpark Capital, Inc. Ordered to Pay Customers Nearly $800,000 for Actions of Former Broker, Lawrence Fawcett, Including Churning and Recommending Risky Private Placements
- 2021-05-26: Broker Spotlight: Robert Yasnis of Worden Capital Management Llc – New York, Ny
- 2021-05-26: Broker Spotlight: Kevin Wilson of Worden Capital Management Llc – New York, Ny
- 2021-05-24: Pinehurst, North Carolina Broker, Mercer Hicks Iii, Barred by Finra for Making Unsuitable Recommendations to Five Senior Customers
- 2021-05-21: 26-Year-Old Truck Driver from Connecticut Files Securities Arbitration Claim Against Robinhood for Placing Trade Restrictions on Certain “meme Stocks”
- 2021-05-21: Network 1 Financial Securities Inc. Broker Carl Antaki (formerly of First Standard Financial Company Llc) Suspended by Finra for Excessive and Unsuitable Trading
- 2021-05-20: Bronx Broker, Matthew Siliato, Formerly of Wynston Hill Capital, Llc, Barred by Finra
- 2021-05-19: Broker Spotlight: Martin Lerner of David Lerner Associates, Inc. Facing Pending Securities Arbitration Complaint Related to Energy 12 and Soaex – Boca Raton, Florida
- 2021-05-19: $28 Million Awarded to Whistleblower by SEC
- 2021-05-19: Brokers International Financial Services, Llc and Broker Mark Perry Ordered to Pay $795,959 to Widow by a Finra Arbitration Panel
- 2021-05-18: Gpb Automotive Portfolio, Lp’s Latest Public Filing Raises Doubts That the Business Will Survive; Investors Should Contact an Attorney to Review Legal Rights
- 2021-05-17: Former Morgan Stanley Broker in Miami, Candido Viyella, Barred by Finra
- 2021-05-17: Former Securities America, Inc. Broker, Bill Dixon, Barred from the Securities Industry by Finra – Urbana, Ohio
- 2021-05-17: Former Financial Advisor Eric Vici Barred from the Securities Industry by Finra – Melbourne, Florida
- 2021-05-13: Finra Files Enforcement Action Against Broker Adam Belardino, Formerly of Mml Investors Services, Llc – Westchester County, New York
- 2021-05-13: Investigative Report: Worden Capital Management Llc’s Owners, Executives, and Brokers Have Concerning Red Flag Disclosures
- 2021-05-12: SEC Awards $3.6 Million to Whistleblower; The SEC Has Awarded Over $104 Million Whistleblowers in 2021
- 2021-05-11: How to Recover Investment Losses: Frequently Asked Questions
- 2021-05-11: SEC Awards $22 Million to Two Whistleblowers Whose Information Resulted in Successful SEC Enforcement Actions Against a Financial Services Firm
- 2021-05-10: Retail Investors Fight Back Against Robinhood for Its January 28, 2021, Trading Restrictions on “meme Stocks,” Such as Gamestop, Amc, Koss Corporation, and Express, Inc.
- 2021-04-29: Former Morgan Stanley Broker, Constantinos Maniatis, Suspended by Finra – Dallas, Texas
- 2021-04-29: Another Joseph Stone Capital L.l.c. Broker in Trouble with Regulators: Financial Advisor David Martirosian Barred by Finra – New York
- 2021-04-25: Tampa Broker, Fred Rock, Formerly of Pruco Securities Llc, Suspended by Finra
- 2021-04-21: Former Lpl Financial Llc Broker Elias Hakimian, Suspended by Finra – Costa Mesa, California
- 2021-04-17: Finra Files Enforcement Action Against Former Joseph Stone Capital, Llc. Broker Abdul Rahmani
- 2021-04-14: Former Financial Advisor Michael Dellaporta, Jr. Barred from the Securities Industry by Finra – Fort Lauderdale, Florida
- 2021-04-14: Finra Files Enforcement Action Against Hugues Guirand, Formerly of Woodstock Financial Group, Inc. – Virginia Beach, VA
- 2021-04-14: Former Ifs Securities Broker, Steven Schisler, Facing Disciplinary Charges by Finra for Numerous Alleged Misconduct, Including Unsuitable Investment Recommendations to an Elderly Couple
- 2021-04-12: Investigation: Former Mml Investor Services, Llc Broker, Oscar Francis, Reportedly Recommended Gpb Capital Holdings to Customers – Fort Lauderdale, Florida
- 2021-04-10: Scottsdale, Arizona Broker Kevin Canterbury Facing Three Pending Customer Disputes
- 2021-04-10: SEC Awards $2. 5 Million to Whistleblower, as Chief of the Sec’s Office of the Whistleblower Announces Impending Departure
- 2021-04-09: Broker Hebert Frey Suspended by Finra After Excessively Trading and Placing Unauthorized Trades in the Account of a Disabled Client – Mount Vernon, Ohio
- 2021-04-08: Burlington, Vermont Financial Advisor Louis Olave Suspended by Finra
- 2021-04-08: Broker Matthew Crafa Facing Three Pending Customer Disputes Related to Gpb Capital Funds
- 2021-04-08: Joseph Ambrosole, a Joseph Stone Capital L. L.c. Broker, Suspended by Finra
- 2021-04-07: Dawson James Securities, Inc. Sanctioned by Finra for Charging Customers Excessive Commissions
- 2021-04-02: Hutchinson Island, Florida Broker, Gregory Mancuso, Formerly of Crowdvest Securities Llc, Barred by Finra
- 2021-04-01: Another Win for Ubs Yield Enhancement Strategy (yes) Customers, Second Award in March 2021
- 2021-03-29: St. Augustine, Florida Financial Advisor Charles Thomas Stevens, Formerly of D.h. Hill Securities, Llp, Barred by Finra
- 2021-03-29: Lake Forest, Illinois Financial Advisor Victor A. Rigoni, Iii, Formerly of Summit Brokerage Services, Inc., Suspended by Finra
- 2021-03-29: Broker, Jeremy Johnson, Formerly of Torch Securities, Llc, Barred by Finra – Murrieta, Ca
- 2021-03-25: Cantor Fitzgerald & Co. Trader, Riaz Haidri, Suspended for Disclosing a Customer’s Confidential Trading Strategy to Another Customer
- 2021-03-25: Another Day, Another Disciplinary Action Against Aegis Capital Corp.
- 2021-03-24: Santa Barbara Financial Advisor, Mark Delgadillo, Formerly of D. A. Davidson & Co., Suspended by Finra
- 2021-03-23: West Des Moines, Iowa Broker, John O’bannon, Formerly of Edward Jones, Suspended by Finra
- 2021-03-23: Broker Chad Mackland, Who Is Facing Felony Criminal Charges, Barred by Finra
- 2021-03-23: Western International Securities Compliance Officer Barred by Finra – Pasadena, Ca
- 2021-03-22: Trevor Rahn, Former J. P. Morgan Securities Broker, Suspended for Unauthorized Trades, Unsuitable Recommendations, and Mismarked Orders – Los Angeles, Ca
- 2021-03-17: Former Aegis Capital Corp Broker, Kishan (sean) Parikh, Facing Disciplinary Charges by Finra for Unsuitable Investment Recommendations and Excessive Trading
- 2021-03-17: Ubs Ordered to Pay $1 Million to Yield Enhancement Strategy (yes) Customers
- 2021-03-17: Investigative Report: Iorio Altamirano Llp Investigation into Joseph Stone Capital L.l.c. Reveals Troubling Pasts for Owners, Executives, and Brokers
- 2021-03-12: Former Ameriprise Financial Services Broker, Clyde Jensen, Facing Disciplinary Charges by Finra
- 2021-03-11: Former Kestra Investment Services, Llc Broker, Mayur Dalal, Barred by Finra – New Hyde Park, Ny
- 2021-03-10: Stockbroker George Warner Barred by Finra
- 2021-03-06: Update: Broker Scott Reed, Formerly of Wells Fargo in Scottsdale, Arizona, Appears to Have a History of Recommending High Risk and High Commission Investments to Customers
- 2021-03-05: Palm City, Florida Financial Advisor, Richard Shelley, Formerly of Packerland Brokerage Services, Inc. , Suspended by Finra
- 2021-03-03: How to Recover Puerto Rico Bond Losses from David Lerner Associates, Inc.
- 2021-03-03: Rodgers, Arkansas Financial Advisor Rhett Bedwell Barred by Finra
- 2021-03-01: Great Nation Investment Corporation President and Ceo, Bryon Pat Treat, Barred by Finra – Amarillo, Texas
- 2021-02-28: Broker Spotlight: Daniel T. Lerner of David Lerner Associates, Inc. Facing Three Pending Securities Arbitration Complaints – White Plains, New York
- 2021-02-26: Moab, Utah Financial Advisor Scott Hansen, Formerly of Lpl Financial Llc, Suspended by Finra
- 2021-02-25: Financial Advisors in Morgan Stanley’s Global Sports and Entertainment Group Have Been the Subject of Several Customer Disputes Over the Past Year
- 2021-02-25: Former NBA Players Chandler Parsons and Courtney Lee Reportedly File a $5 Million Securities Arbitration Claim Against Morgan Stanley and Broker Darryl Cohen
- 2021-02-19: Former Wells Fargo Broker in Scottsdale, Arizona, Scott Reed, Barred by Finra
- 2021-02-18: At Least Twenty-Four Customers Have Filed Securities Arbitration Complaints Against Robinhood Financial, Llc
- 2021-02-15: Broker Spotlight: Michael Hernandez of Arive Capital Markets – Brooklyn, New York
- 2021-02-15: Arive Capital Markets Broker, Mirsad Muharemovic, Accused of Churning, Excessive Trading, and High-Pressure Sales Tactics
- 2021-02-12: Broker Spotlight: Daniel Silverstein of Arive Capital Markets – Miami, Florida
- 2021-02-08: Investigative Report: Iorio Altamirano Llp Investigation into Arive Capital Markets Reveals Troubling Pasts for Owners, Executives, and Brokers
- 2021-02-08: Former David Lerner Associates Financial Advisor, Charles Bonilla, Suspended by Finra for Unsuitable Energy-Sector Securities – Boca Raton, Fl
- 2021-02-05: Portland Financial Advisor, Lisa Brumm, Suspended by Finra for Unsuitable Variable Annuity Recommendations, Borrowing from a Client, and Negligent Misrepresentation
- 2021-02-05: Somersworth, Nh Financial Advisor Michael Francoeur, Formerly of Cambridge Investment Research, Inc, Barred by Finra
- 2021-02-05: Arive Capital Markets Broker, Lon Faccini, Facing Two Pending Disputes Alleging Excessive Trading, Churning, Misrepresentation, and Unsuitability
- 2021-02-03: Columbus, Ohio Financial Advisor Lisa Stevenson, Formerly of the Huntington Investment Company, Barred by Finra
- 2021-02-01: Investor Alert: Iorio Altamirano Llp Continues to Investigate Robinhood, Webull, T.d. Ameritrade, Interactive Brokers, Charles Schwab, and Other Brokerage Firms for Market Manipulation and Breach of Contract
- 2021-02-01: Arive Capital Markets’ Roy Failla Suspended by New Jersey for Engaging in Dishonest and Unethical Practices in the Securities Business, Including Excessive Trading
- 2021-01-28: Investor Alert: Iorio Altamirano Llp Investigates Robinhood, T.d. Ameritrade, Charles Schwab, and Other Brokerage Firms for Market Manipulation
- 2021-01-26: Former Merrill Lynch Broker in Atlanta, Tyler Delahunt, Barred by Finra
- 2021-01-26: Amarillo, Texas Financial Advisor David A. Jenson Barred by Finra
- 2021-01-26: Financial Advisor Anthony Tricarico Suspended by Finra for Excessive Trading While Employed at Aegis Capital Corp. – New York, Ny
- 2021-01-26: After Merrill Lynch Has Paid Over $66 Million to Settle Churning Allegations Against Former Broker Charles Kenahan, Finra Has Barred Kenahan from the Industry.
- 2021-01-25: Fort Lauderdale Financial Advisor Bryan Mazliach Barred by Finra for Excessive Trading and Unauthorized Trades
- 2021-01-20: Financial Advisor Christian Lucchetto Suspended by Finra for Excessive Trading
- 2021-01-19: Sparks, Nevada Financial Advisor, Javelin Mikol San Nicolas, Formerly of Edward Jones, Barred by Finra
- 2021-01-14: Berthel Fisher & Company Financial Services, Inc. Customer in Layton, Utah Filed Finra Arbitration Complaint About Reits and Bdcs
- 2021-01-14: Former Merrill Lynch Broker in Beverly Hills, Ryan Raskin, Barred by Finra
- 2021-01-13: Boulder, Colorado Financial Advisor, Formerly of Lpl Financial Llc, Suspended by Finra
- 2021-01-13: Statesboro, Georgia Financial Advisor Christopher B. Black Barred by Finra
- 2021-01-11: Former Morgan Stanley Financial Advisor John Griner Suspended by Finra – Athens, Georgia
- 2021-01-08: Springfield, Il Financial Advisor Dustin P. Shafer Barred by Finra After Allegedly Borrowing Money from an Elderly Customer
- 2021-01-08: Former Ameriprise Broker Angel Bardeche Suspended by Finra – Cincinnati, Ohio
- 2021-01-07: Antonio Almeida, with Worden Capital Management Llc, Suspended by Finra
- 2020-12-31: New Year’s Resolutions for Investors in 2021
- 2020-12-28: Former J. P. Morgan Securities and Edward Jones Broker, Paul Zakhary, Suspended for Unsuitable Annuity Switch Recommendations – Florida
- 2020-12-27: Top 15 Types of Securities Leading to Customer Disputes in 2020
- 2020-12-24: Ubs Ordered to Pay $90,000 to Yield Enhancement Strategy Customer
- 2020-12-22: Former Merrill Lynch Financial Advisor, Rawad Roy Alame, Suspended by Finra for Selling Away
- 2020-12-21: Transamerica Financial Advisors, Inc. Sanctioned by Finra and Ordered to Pay $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds, and 529 Plans
- 2020-12-19: Former Lpl Financial Llc Financial Advisor, Michael Anthony Tavel, Suspended by Finra for Selling Away, Making an Unsuitable Recommendation, and Misrepresentation – Indianapolis, In
- 2020-12-15: R. F. Lafferty & Co., Inc. and Financial Advisor Jay Clint Tomlinson Sanctioned by Finra – New York, Ny
- 2020-12-15: Former Ameriprise and Edward Jones Broker Drew R. Mantel Suspended by Finra for Exercising Discretion Without Written Authorization in Customers’ Accounts – Ohio
- 2020-12-10: Former Cadaret, Grant & Co. , Inc. Financial Advisor Timothy James Pandekakes Suspended for Unsuitable Variable Annuity Recommendations – Westchester, New York
- 2020-12-08: Michael Edward Magill Barred by Finra – Portland, Maine
- 2020-12-07: Investigation: Kodak Stock Investment Losses
- 2020-12-07: Dee Dee Brooks Barred by Finra – Huntington Beach, California
- 2020-12-01: Investigation: Long Island Resident Mark Alan Lisser Charged with Defrauding Investors
- 2020-11-25: Broker Timothy David O’brien, Formerly with Feltl & Company, Suspended by Finra – Inver Grove Heights, Mn
- 2020-11-23: Former Stifel, Nicolaus & Company, Inc. Financial Advisor Kurt Gunter Suspended by Finra for Short-Term Trading of Unit Investment Trusts in Customer Accounts
- 2020-11-23: Neemit M. Shah Suspended for Six Months for Recommending Future Income Payments, Llc – Glen Allen, Virginia
- 2020-11-23: Micah W. Patterson Was Suspended for One Month for Soliciting Future Income Payments, Llc – Centerville, Utah
- 2020-11-21: Investigation: Former Edward Jones Financial Advisor Matthew Jennings Barred by Finra– Johnston, Iowa
- 2020-11-19: Former Merrill Lynch Broker Douglas Stopkey Suspended by Finra for 30 Days Over Unauthorized Trading and Mismarked Orders in Senior Customer Accounts
- 2020-11-18: David T. Phillips Suspended for Nine Months for Future Income Payments, Llc Solicitation – Gilbert, Arizona
- 2020-11-17: Troy R. Baily Suspended for Recommending Future Income Payments, Llc – Omaha, Nebraska
- 2020-11-17: Lonna R. Dehn Ristvedt Suspended for Soliciting Customers to Buy Future Income Payments, Llc – Fargo, North Dakota
- 2020-11-17: John Westbrook Suspended for Future Income Payments, Llc Solicitation – Montgomery, Alabama
- 2020-11-13: Coastal Equities, Inc. Censured by Finra and Ordered to Pay Over $280,000 in Restitution and Interest to Customers – Dublin, Ohio
- 2020-11-11: Financial Advisor Lawrence Goldstein Barred by Finra – Nevada
- 2020-11-06: Oppenheimer Financial Advisor Ivan Shore (crd# 1012943) Suspended by Finra for Short-Term Trading of Unit Investment Trusts in Customer Accounts – New York, Ny
- 2020-11-03: Former Raymond James Financial Advisor Vonna Kay Husby (crd# 1314070) Barred by Finra After Allegedly Co-Owning a Bank Account with an Elderly Customer – Fairbanks, Alaska
- 2020-10-29: National Securities Corporation Censured by Finra and Fined $125,000 for Numerous Violations
- 2020-10-23: Financial Advisor Cynthia Diane Cowden (crd# 2054676) Barred by Finra for Recommending High- Risk Investments to Three Senior Customers – Lake Isabella, Ca
- 2020-10-23: Financial Advisor Donatas B. Vildzius (crd# 2202883) Suspended for a Third Time by Finra for Excessive Trading – Danbury, Ct
- 2020-10-22: Investigation: Former Morgan Stanley and Westpark Capital, Inc. Financial Advisor Stephen Sloane (crd# 1257601) Investigated by Finra for Unsuitable Trades in 14 Customer Accounts– New York, Ny
- 2020-10-20: Ubs Profits Double as Investors in Ubs’s Yield Enhancement Strategy Suffer Losses
- 2020-10-19: Financial Advisor Frank Venturelli (crd# 6403468) Suspended by Finra – New Jersey
- 2020-10-16: Financial Advisor Jeffrey Broten (crd# 1006678) Barred by Finra – New Jersey
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