:
Updated:
Victor Lessinger Suspended Over Reg BI Violation
:
Updated:
Wells Fargo Advisor James Paige Has Customer Complaints
:
Updated:
Did Your Financial Advisor Recommend Super Micro Computer? – Investor Loss Recovery
:
Updated:
Glennon Cole Has Many Customer Investment Complaints
:
Updated:
Advisor John Micera Has Structured Products Complaint
:
Updated:
Morgan Stanley Advisor Brian Pfeifler Has Alternative Investment Complaints
:
Updated:
Robert Daly Barred Over Private Investment Allegations – Investor Recovery Options
:
Updated:
James Seijas Accused of Being Involved in Q3 Trading Club Scam – Investor Recovery Options
:
Updated:
Starwood Real Estate Income Trust Inc. (SREIT) – Recovery Options
:
Updated:
Sam Schoner Has Customer Complaints Related to First Republic Preferred Stock
:
Updated:
Eric Dupre Fired Over Misappropriation of Client Funds – Investor Recovery Options
:
Updated:
Chun Elmejjad Barred Over Alleged Real Estate Scheme – Investor Recovery Options
:
Updated:
UBS Advisor Barry Schwartz Has Customer Complaint
:
Updated:
Todd Lesk Barred Over Unapproved Securities Activities – Investor Recovery Options
:
Updated:
Jeffrey Higgins Barred Over Misappropriation of Client Funds – Investor Recovery Options
:
Updated:
Moloney Securities Broker Shane DeSherlia Has Three Customer Complaints
:
Updated:
Leslie Jackson Barred Over Alleged Promissory Note Sales – Investor Recovery Options
:
Updated:
Gana Weinstein Represents Investors in Claims Concerning Jason Mitsuda’s Sale of Structured Products
:
Updated:
Aegis Capital Accused of Harming Investors Out of at Least $5 Billion
:
Updated:
Advisor Raul Benitez Has Suitability Customer Complaints
:
Updated:
Advisor Kieth Baron Sanctioned By Regulator Over Undisclosed Securities Dealings – Investor Recovery Options
:
Updated:
Advisor Robert Lorente Has Alternative Investment Complaints
:
Updated:
Truist Investment Advisor Kultar Bindra Has Structured Products Complaint
:
Updated:
Gana Weinstein Represents Victims of Financial Advisor Stewart Ginn
:
Updated:
Advisor Wenjinn Chang Has Alternative Investment Complaints
:
Updated:
Advisor Michael Sandberg Accused of Unsuitable Investment Practices
:
Updated:
Advisor Barbara Shaffer Had Customer Complaints Relating to GPB
:
Updated:
Advisor Byron Treat Permanently Barred From Industry Over Sale of Church Bonds
:
Updated:
Eric Felsenfeld Has Alternative Investment Complaints
:
Updated:
Allen Hershberg Barred Over Real Estate Investments – Investor Recovery Options
:
Updated:
Broker Valentino Scott Has Alternative Investment Customer Complaints
:
Updated:
Advisor Tyler Dean Delahunt barred from industry over unapproved business activity
:
Updated:
Advisor John Blakezuniga Has Several Regulatory Actions – Investor Recovery
:
Updated:
Securities Arbitration – The Basics: What you need to know.
:
Updated:
Advisor Anthony Tricario Accused of Churning and Sanctioned By Financial Regulator
:
Updated:
Kirk Badii Has Six Customer Complaints and Multiple Terminations
:
Updated:
Broker Brian Roth Has Alternative Investment Customer Complaints
:
Updated:
Broker Jerry Tuma Has Customer Suitability Complaints
:
Updated:
Jonathan Ellefson Sold GWG Bonds and Has Investor Complaints
:
Updated:
Gana Weinstein Represents Clients of Chad Barancyk Concerning Alternative Investments
:
Updated:
Anthony Gallea Has Complaints Over Complex Options Trading
:
Updated:
Eduardo Da Cruz Has a Complaint Over Complex Options Trading
:
Updated:
James Pecoraro Sanctioned by Regulator Over Excessive Trading
:
Updated:
Heath Goldstein Sold GWG Bonds and Investor Complaints
:
Updated:
Advisor Thomas Martin Has Unsuitable Investment Complaints
:
Updated:
Shawn Good Barred Over Alleged Ponzi Scheme – Investor Recovery Options
:
Updated:
Newbridge Advisor Dean Norwalk Subject to Customer Disputes
:
Updated:
Broker Douglas Schmitz Has Customer Complaints
:
Updated:
Arkadios Advisor Mark Reffett Accused of Unsuitable Investment Practices
:
Updated:
Advisor Michael Martino Subject to Multiple Unsuitable Advice Disputes
:
Updated:
Ariel Rivero Has Customer Complaints Related to High Risk Investments
:
Updated:
Broker Frederick Atiyeh Accused of Selling Unsuitable Alternative Investments
:
Updated:
Tony Barouti Sold GWG Bonds and Has Over $5 Million In Investor Complaints
:
Updated:
Mark Kemp Has 11 Customer Complaints and A Regulatory Disclosure
:
Updated:
Advisor Richard Reynolds Has Numerous Trading Complaints
:
Updated:
Advisor Frank Avallone Has Suitability Complaints
:
Updated:
Advisor Travis Lippman Subject to Multiple Investment Complaints
:
Updated:
Advisor Thomas Kintz Has a Suitability Complaint
:
Updated:
William Athas of SW Financial Sanctioned By FINRA Over Churning
:
Updated:
Broker Robert Mann Has Suitability Disputes
:
Updated:
Christian Lucchetto Suspended by FINRA Over Excessive Trading
:
Updated:
Advisor Erik Drewes Expunges Three Customer Complaints From His Disclosures
:
Updated:
Advisor Serge Parakhnevich Has Complaints and Regulatory History
:
Updated:
Capstone Financial’s David Melilli Allegedly Violates Securities Laws
:
Updated:
Broker Ronald Richer Barred By Securities Regulator
:
Updated:
Christopher Miller Subject to Investment Customer Complaint
:
Updated:
Advisor Frank Venturelli Suspended By Securities Regulator
:
Updated:
Michael Fahsholtz Subject to 12 Customer Complaints Related to Investment Advice
:
Updated:
First Allied Advisor Terry Anderson Terminated for Misconduct
:
Updated:
Rodrigue Lors Has Multiple Customer Complaints
:
Updated:
Advisor Jeffrey Miller Subject to Several Investor Disputes
:
Updated:
Advisor Matthew Gaer Claimed to Have Provided Unsuitable Investment Advice
:
Updated:
Woodbury Financial’s Daryl Serizawa Has Customer Complaints
:
Updated:
Scott Reed Barred Over Pebblekick Investment Scheme – Investor Recovery Options
:
Updated:
Daniel Pimental Engaged in Unsuitable Investment Advice and Unauthorized Trading
:
Updated:
National Securities Broker Viqas Akhtar Has Customer Complaints
:
Updated:
Broker Siddharth Reddy Has Unsuitable Investor Complaints
:
Updated:
Gary Saccaro Has Had 16 Investor Complaints During His Career
:
Updated:
Aegis Capital Advisor Johnny Guan Has Investor Complaints
:
Updated:
FINRA Accuses Megurditch Patatian of Falsifying Investor Financial Information to Sell REITs
:
Updated:
Rhett Bedwell Accused of Selling Ponzi Scheme Investments – Investor Recovery Options
:
Updated:
Raymond James Advisor Gregory Collier Has Investor Suitability Complaints
:
Updated:
Advisor Russell Green Accused of Unsuitable Investments and Churning Client Accounts
:
Updated:
Andrew Grant Subject to FINRA Regulatory Action Over Discretionary Trading
:
Updated:
Advisor Doron Kochavi Has Unsuitable Investment Complaints
:
Updated:
Financial Advisor David Bibo Has REIT Investor Complaints
:
Updated:
Financial Advisor Gregory Williams Subject to Nine Investment Complaints
:
Updated:
Horizon Private Equity III Ponzi Scheme Victims – Investor Recovery
:
Updated:
Seth Stewart Has Customer Complaints Over Alternative Investments
:
Updated:
Former Morgan Stanley Advisor Ken Hutkin Terminated For Undisclosed Activities
:
Updated:
Raymond James Advisor Eric Bachinsky Has Several Disclosed Customer Complaints
:
Updated:
Advisor Kevin Meadows Accused of Excessive Trading and Unsuitable Investment Advice
:
Updated:
Broker Peter Steege Has 21 Disclosable Events – Investor Recovery
:
Updated:
James Couture Accused of Misappropriating Client Funds – Investor Recovery
:
Updated:
Michael Lackwood, Spring Delta Advisor, Accused of Unsuitable Investments
:
Updated:
Advisor John Howard Has Unsuitable Investment Complaints
:
Updated:
Advisor Michael Shillin Accused of Numerous Allegations of Financial Misconduct and Fraud – Investor Recovery Options
:
Updated:
Merrill Lynch Financial Advisor Mark Jones Has Nine Investor Complaints
:
Updated:
Cambridge Financial Advisor Eladio Santiago Has Disputes Over Unsuitable Investment Advice
:
Updated:
Advisor Dwight Dykstra Sanctioned By Regulator Over Senior Living Real Estate Promissory Note Sales – Investor Recovery Options
:
Updated:
SW Financial’s Joseph Gebron Allegedly Violates Securities Laws
:
Updated:
Ameriprise Financial Advisor Kevin Houser Has REIT Investment Complaints
:
Updated:
Broker Timothy O’Brien Sanctioned By FINRA Over Unauthorized Trade
:
Updated:
VIX and Leveraged ETF Investor Loss Recovery
:
Updated:
Ameriprise Financial Advisor Gary Ginsberg Has REIT Investment Complaints
:
Updated:
National Securities Christopher Ortiz Has Private Placement Complaints
:
Updated:
Centaurus Advisor Conrad Corcoran Has Alternative Investment Complaints
:
Updated:
Broker William Campbell Accused of Making Unsuitable Recommendations
:
Updated:
Investment Adviser Joseph Teifer Accused of Making Unsuitable Recommendations
:
Updated:
Broker John Marshall Accused of Making Unsuitable Recommendations
:
Updated:
Broker Jonathan Ebel Accused of Excessive Trading and Subject to Tax Liens
:
Updated:
Adviser Ezri Shechter Alleged of Churning and Sanctioned by Regulator
:
Updated:
Advisor Felipe Henao Accused of Unsuitable VIX Trading
:
Updated:
Center Street Advisor Roy Williams Has Investment Complaints
:
Updated:
Advisor Marshall Isaacson Barred By Regulator After Suitability Investigation
:
Updated:
Advisor Peter Ianace Barred By Regulator Over Undisclosed Business Dealings – Investor Recovery Options
:
Updated:
Adviser Michael Greenstone Accused of Making Unsuitable Investment Recommendations
:
Updated:
Advisor James G. Babineaux Accused of Making Unsuitable Investment Recommendations and Unauthorized Trading
:
Updated:
Adviser Stuart Henley Sanctioned by Regulator Over Trading Activity
:
Updated:
Wedbush Advisor David Hirons Has Suitability Customer Complaints
:
Updated:
Advisor Stuart Pearl Sanctioned By Regulatory and Subject to Customer Complaints
:
Updated:
Broker Audrey Croft Subject to Multiple Tax Liens and Several Customer Complaints
:
Updated:
Broker Paul Porter Accused of Unauthorized Trading and Making Unsuitable Recommendations
:
Updated:
Broker John Timberlake Accused of Making Unsuitable Recommendations and Failure to Supervise
:
Updated:
Broker Sebastian Wyczawski Accused of Making Unsuitable Recommendations and Failure to Supervise
:
Updated:
Advisor and Broker Ralph Byer Accused of Making Unsuitable Investment Recommendations
:
Updated:
National Securities Advisor Troy Goldberg Has Private Placement Complaints
:
Updated:
Broker Chadwick David Carrick Accused of Churning and Making Unsuitable Investments
:
Updated:
National Securities Advisor Kevin Dziubela Has Suitability Customer Complaints
:
Updated:
Advisor Bruce Ciallella Has Suitability Customer Complaints
:
Updated:
Advisor Joseph Hain Has Complaints Over Private Placement Reccommendations
:
Updated:
ACG Wealth Advisor Kevin Rainwater Has Alternative Investment Complaints
:
Updated:
Aegis Capital Advisor Thomas Duggan Has Suitability Customer Complaints
:
Updated:
RBC Capital Advisor Brian Wudemann Has Suitability Customer Complaints
:
Updated:
Yellowstone Advisors David Hansen and Cameron High Fraudulently Bill Clients Out of $11.8 Million – Investor Recovery Options
:
Updated:
Advisor Jingbo Pan Accused By Investors of Selling Unsuitable Alternative Investments
:
Updated:
Investor Recovery – GPB Capital Called Ponzi-Like Scheme; Fund Managers Indicted
:
Updated:
Gana Weinstein LLP Respresents Investor In Unsuitable David Lerner Energy 11, L.P. Sale
:
Updated:
Gana Weinstein LLP Files Case on Behalf of Client of Advisor Kevin McCallum and Investment in Medley Capital Corporation
:
Updated:
Raymond James & Associates financial Advisor Joseph Andreoli Jr has many disputes in his 33 Year career
:
Updated:
Gregory P. Washington of Merrill Lynch Has an Investment Complaint
:
Updated:
Crown Capital Advisor Kenneth Barroga Has Alternative Investment Complaints
:
Updated:
Newbridge Securities Financial Advisor Kerri Jamison Has Multiple Customer Complaints
:
Updated:
Triad Advisor Darrin Cohn Has Alternative Investment Complaints
:
Updated:
Advisor Martin Noonan Barred by Regulator Over Trading Claims
:
Updated:
FS Energy & Power Fund Investor Losses – Recovery Options Update
:
Updated:
New York City REIT Investors Suffer Massive Losses – Investor Recovery
:
Updated:
Gana Weinstein LLP: In The News
:
Updated:
Advisor Ronald Hannes Accused of Converting Client Funds – Investor Recovery Options
:
Updated:
Mark Cline Subject to Customer Complaints Over Private Placement Sales
:
Updated:
Advisor Christopher Roumayeh Sanctioned Over Undisclosed Investments – Investor Recovery Options
:
Updated:
Shane Appelbaum Has Investor Complaint Over Fixed Income Sales
:
Updated:
RW Holdings NNN REIT Suffer Losses – Investment Attorneys
:
Updated:
Advisor James Parrelly Accused of Churning and Sanctioned By Financial Regulator
:
Updated:
Advisor William Morrow Accused by Over a Dozen Investors of Selling Unsuitable Alternative Investments
:
Updated:
The Parking REIT Update – Investment Loss Recovery Options
:
Updated:
Advisor Arthur Hoffman Barred Over Zima Global Ventures Fraud – Investor Recovery Options
:
Updated:
Michael Burkoff Has Investor Complaint Over Structured Products Sales
:
Updated:
Advisor Robert Gianchiglia Has Customer Complaints Over Private Placements and Alternative Investments
:
Updated:
Advisor Bryan Benson Has Customer Complaint Over Alternative Investments
:
Updated:
Gary Barth Has Complaint Over Alternative Investment Sales Practices
:
Updated:
Advisor David Weisberg Suspended Over Excessive Trading Charges
:
Updated:
Mark Robare Has Complaint Over Alternative Investment Sales Practices
:
Updated:
Carey Watermark Investors 2 Suffer Losses – Investment Attorneys
:
Updated:
Advisor Robert Radli Jr. Alleged to Have Recommended Unsuitable Energy Securities
:
Updated:
Rick Davidson Has Investor Complaint Over Corporate Debt and Structured Products
:
Updated:
David Krumrey Barred Over Risky EFT and VIXX Trading – Investor Recovery
:
Updated:
Woodbury Financial Advisor James Kennedy Barred From Industry Over Unapproved Business Activity
:
Updated:
Advisor Todd Esh Barred By SEC Over BirdDog Investment Fraud – Investor Recovery Options
:
Updated:
Oil & Gas Investment Funds See Dramatic Declines – Investor Loss Recovery
:
Updated:
Strategic Student & Senior Housing Trust Investors Suffer Losses – Investment Attorneys
:
Updated:
Moody National REIT II Investors Suffer Losses – Investment Attorneys
:
Updated:
Hospitality Investors Trust Investors Suffer Losses – Investment Attorneys
:
Updated:
Broker Eladio Santiago Subject to Customer Complaints Over Investment Recommendations
:
Updated:
Duff & Phelps Select Energy MLP Fund – Investor Loss Recovery
:
Updated:
Stifel, Nicolaus Advisor Steven Rodemer Barred From Industry Over Misappropriation of Funds
:
Updated:
Transamerica Advisor Gautam Arora Terminated Over Unapproved Securities Sales
:
Updated:
Advisor Robert Buffington Accused of Churning by Multiple Clients
:
Updated:
Next Financial Group Advisor Brian Radoo Terminated Over Undisclosed Business Activities
:
Updated:
NYLife Securities Advisor Felix Chu Barred By Regulatory Over Promissory Notes
:
Updated:
Allianz Structured Alpha 1000 Fund – Investor Loss Recovery Options
:
Updated:
Leveraged ETFs – Loss Recovery Options
:
Updated:
Kayne Anderson MLP/Midstream Investment Company – Investor Loss Recovery
:
Updated:
ClearBridge MLP and Midstream Fund – Investor Loss Recovery
:
Updated:
Mewbourne Energy Partners Investor Loss Recovery
:
Updated:
Scot Fairchild Has Complaints Over Alternative Investment Sales Practices
:
Updated:
Advisor John Jaramillo Terminated for Selling a Non-Approved Product
:
Updated:
Advisor Marc Linsky Accused of Recommending GPB Capital
:
Updated:
Advisor Ferrell Rollins Terminated for Borrowing Customer Funds
:
Updated:
Advisor Jason LaBelle Sanctioned Over Outside Business Activities – Investor Recovery
:
Updated:
Advisor Paris Lewis Terminated for Borrowing Money From A Client – Investor Recovery
:
Updated:
Securities-Back Lending Risks Step Back Into the Spotlight Amidst Market Declines
:
Updated:
James Kirchner Has Complaints Over Private Placement Sales Practices
:
Updated:
Goldman Sachs MLP Income Opportunities Fund – Investor Loss Recovery
:
Updated:
William Braun Has Complaints Over Private Placement Sales Practices
:
Updated:
Merrill Lynch Financial Advisor Juan Barreras Has Suitability Customer Complaints
:
Updated:
Advisor Dana Vietor Sanctioned Over Promissory Note Sales
:
Updated:
UBS ETRACs Investor Loss Recovery Options
:
Updated:
SEC Alleges Investment Fraud – EquiAlt LLC – Recovery Options
:
Updated:
Rena Morris Has Complaints Over Tenant-In-Common (TIC) Real Estate Sales Practices
:
Updated:
Lee Kramer Has Complaint Over Alternative Investment Sales Practices
:
Updated:
John Davenport Subject to Regulatory and Customer Complaints Over Sales Practices
:
Updated:
Stephen Holt Has Complaints Over Tenant-In-Common (TIC) Real Estate Sales Practices
:
Updated:
Dustin Shafer Has Complaints Over Alternative Investment Sales Practices
:
Updated:
Timothy Touloukian Has Complaints Over Private Placement Sales Practices
:
Updated:
Ameriprise Financial Advisor Jeffrey McHale Has Customer Complaints
:
Updated:
Rodney Potratz Has Complaint Over Alternative Investment Sales Practices
:
Updated:
Enrique Lopez Has Complaints Over Alternative Investments
:
Updated:
Advisor Murray Roark Alleged to Have Recommended Unsuitable Energy Securities
:
Updated:
Timothy Vanlohuizen Has Complaints Over Alternative Investments
:
Updated:
Gana Weinstein LLP Files Complaint On Behalf of Clients Alleging William Fox Sold Unsuitable Alternative Investments
:
Updated:
Advisor Antonio Puente Barred Over Outside Business Activities – Investor Recovery
:
Updated:
Advisor Darren Oglesby Has Potential Complaint Regarding GPB Capital
:
Updated:
Broker Charles Evan Subject to Regulatory and Customer Complaints Over Annuity Practices
:
Updated:
Nationwide Planning Advisor Jeremy Rosen Has Customer Complaints
:
Updated:
Advisor George Schmidt Investigated for Converting Client Funds – Investor Recovery
:
Updated:
Advisor Gerald Dewes Accused of Selling Private Securities – Investor Recovery
:
Updated:
Roger Owens Terminated Over Sale of Fraudulent Woodbridge Mortgage Investments
:
Updated:
Peter Maller Has Complaints Over Non Traded REIT Investments
:
Updated:
Advisor John Cahill Investigated for Converting Client Funds – Investor Recovery
:
Updated:
Advisor Joseph Roop Has Customer Complaints Over Alternative Investments
:
Updated:
Gana Weinstein Represents Multiple Walton Land Fund Investors
:
Updated:
Network 1 Financial Advisor Carl Antaki Has Churning Complaints
:
Updated:
Advisor Benjamin Lowder Accused of Selling Private Securities – Investor Recovery
:
Updated:
Advisor Edward Rudiger Accused of Churning by Multiple Clients
:
Updated:
Advisor Narinder Singh Accused of Selling Private Securities – Investor Recovery
:
Updated:
Western International Advisor Stuart Godin Has Customer Complaints
:
Updated:
Robert Brinckerhoff Has Investor Complaint Over Structured Products
:
Updated:
Mercer Hicks Has Regulatory Complaint Over REIT Investment Sales
:
Updated:
Independent Financial Advisor Morgan Arford Has Customer Complaints
:
Updated:
Advisor Lester Burroughs Pleads Guilty to Converting Client Funds – Investor Recovery
:
Updated:
Berthel, Fisher Advisor William Sines Has Complaints Over Alternative Investment Sales
:
Updated:
Advisor Lance Armstrong Terminated Over Client Loans – Investor Recovery
:
Updated:
Investment Broker Vincent Mazza Barred By Securities Regulator
:
Updated:
Dennis Nakamura Has Customer Complaints and Subject to Regulatory Bar
:
Updated:
Advisor Gerald Eaton Terminated Over Misappropriating Investor Funds – Investor Recovery
:
Updated:
Advisor Kenneth Guerra Has Complaints Over Alternative Investment Sales
:
Updated:
Heather Weber Has Customer Complaints Over Options Trading
:
Updated:
James McKinney Under Investigation For Securities Laws Violations
:
Updated:
Advisor Victor Agnihotri Under Investigation for Conversion of Funds
:
Updated:
Advisor William Baum Subject to Multiple Customer Disputes
:
Updated:
Philip Sparacino Barred By Regulator Over Excessive Trading
:
Updated:
Advisor Clint Keener Barred By Regulator Over Unsuitable Recommendations
:
Updated:
Advisor Jeffrey Dixson Has Customer Complaint Over Alternative Investments and GPB Capital
:
Updated:
Advisor Brian Lockett Suspended By Regulator; Subject to Multiple Client Complaints
:
Updated:
Advisor Genevieve Mar Has Complaints Over Alternative Investment Sales
:
Updated:
Advisor Justine Zhou Accused of Selling Private Real Estate Investments – Recovery Options
:
Updated:
Katherine Nishnic Has Investor Complaints Over Structured Note Products
:
Updated:
Albert Foronda Has Excessive Trading Complaint
:
Updated:
GPB Capital Alleged to Have Been Sold by Purshe Kaplan Even After Compliance Discovered Red Flags of Fraud
:
Updated:
Advisor David Miller Has Complaints Over Alternative Investment Sales
:
Updated:
Gana Weinstein Represents NorthStar Healthcare REIT Investors
:
Updated:
Advisor Joel Davidman Sanctioned By Regulator Over Trading Activity
:
Updated:
Advisor Yvonne Silguero Has Complaints Over Altnerative Investment Sales
:
Updated:
Advisor Jamie Westenbarger Barred by Regulator Over Borrowing Customer Funds
:
Updated:
Advisor Charles Kerker Barred by Regulator Over Borrowing Customer Funds
:
Updated:
Advisor Robert Burns Has Complaints Over Altnerative Investment Sales
:
Updated:
Advisor Dain Stokes Accused Of Running An Investment Scam – Recovery Options
:
Updated:
Advisors Beg Clients to Wait it Out While GPB Capital Collapses
:
Updated:
Alan Appelbaum Accused of Churning and Unsuitable Trading
:
Updated:
Advisor Anthony Joslin Subject to Regulatory and Customer Complaints
:
Updated:
Advisor Timothy Atyeo Alleged to Have Recommended Unsuitable Energy Securities
:
Updated:
Advisor Darren Kubiak Suspended by FINRA and Has Complaint Over GPB Capital
:
Updated:
Broker Nicholas Schiano Subject to Customer Complaints Over Investment Recommendations
:
Updated:
Leon Almeida Discharged By NYLife Over Securities Sales Practices
:
Updated:
Advisor Luke Johnson Accused of Selling Fraudulent GPB Capital Investments
:
Updated:
LPL Financial Broker Steven Case Has Complaints Over Alternative Investments
:
Updated:
Advisor Timothy Johnson Accused of Diverting Client Funds – Recovery Options
:
Updated:
Advisor Christopher Watkins Subject to Employment Termination and a Customer Complaint
:
Updated:
Advisor Michael Carter Accused of Misappropriating Client Funds – Recovery Options
:
Updated:
Bio-Tech Company uBiome Raided By FBI – Investor Recovery Options
:
Updated:
Broker Peter Monson Under Regulatory Investigation For Excessive Trading
:
Updated:
Advisor Robert Smith Accused of Selling Fraudulent GPB Capital Investments
:
Updated:
Advisor Bobby Coburn Barred by Regulator Over Private Securities Dealings
:
Updated:
Advisor David Rockwell Accused of Misappropriating Client Funds – Recovery Options
:
Updated:
Broker Steven Orr – A Case Study For Investor Complaint Expungement Abuse
:
Updated:
Gana Weinstein Represents Clients With Losses Due To Structured Note Products
:
Updated:
Broker Lawrence Delhagen Subject to Customer Complaints Over Investment Recommendations
:
Updated:
Broker Update – Additional Complaint Filed Against Broker William Byrd
:
Updated:
Advisor Anthony Hobson Has Complaints Over Alternative Investments
:
Updated:
Advisor John Holland Subject to Customer Complaints and Employment Terminations
:
Updated:
Joseph Peggs Subject to Numerous Customer Complaints Over Securities Sales Practices
:
Updated:
Advisor Jeffrey Davis Has Regulatory Sanction Over REIT Sales
:
Updated:
Joshua Stivers Has GPB Capital Investment Complaint
:
Updated:
Trevor Rahn Accused by Multiple Clients of Excessive Trading
:
Updated:
Broker Dean Kajouras Subject to Multiple Customer Complaints
:
Updated:
Bryan Clark Barred By Securities Regulatory Over Private Securities Sales
:
Updated:
GPB Capital Investment Recovery Options – Free Consultation
:
Updated:
Gurpreet Chandhoke and Stephen Shea Subject to Regulatory Action Over VII Peaks Capital Transactions
:
Updated:
Advisor Frederick Stow Discharged Over Client Fund Misappropriation Claims
:
Updated:
Advisor Diane Zhu Investigated Over Undisclosed Outside Business Activities
:
Updated:
Advisor Robert Montes Investigated Over Missue of Elderly Investor’s Assets
:
Updated:
Broker Thomas Marino Subject Allegations of Misusing Client Funds
:
Updated:
Advisor Adam Lunceford Has Complaint Over Alternative Investments
:
Updated:
George Shadie Discharged By NYLife Over Securities Sales Practices
:
Updated:
Advisor David Volpe Subject to Regulatory Bar Over Unauthorized Securities Sales
:
Updated:
John Dobbertin Subject to Customer Complaint and Regulatory Sanction
:
Updated:
Summit Brokerage Broker Jeffrey Poosch Subject to a Complaint Over Unauthorized Trading
:
Updated:
Advisor Marilyn Zehntner Subject to an Investment Complaint
:
Updated:
Advisor Herbert Shiraishi Has Several Variable Annuity Sales Practice Complaints
:
Updated:
Michael Stanton Subject to Multiple Customer Complaints Over Securities Trading
:
Updated:
Advisor Kerry Hoffman Subject to SEC Securities Fraud Complaint Over GT Media Investment
:
Updated:
Advisor Richard Braverman Has Complaints Over Alternative Investments
:
Updated:
Centaurus Financial Broker David Crane Subject to Multiple Tax Liens
:
Updated:
Advisor Michael Sims Alleged to Have Recommended Unsuitable Energy Securities
:
Updated:
Advisor John Boatright Subject to Complaints Over Unsuitable Investments
:
Updated:
Broker Sergio Rovner Subject to Multiple Investment Complaints
:
Updated:
Broker Marc Korsch Subject to Multiple Investment Complaints
:
Updated:
Broker Nick Son Subject to Complaints Over Unauthorized Trading
:
Updated:
Broker Mel Hertz Has Several Suitability Complaints
:
Updated:
Advisor Anthony Conti Subject to Complaints Over Investment Suitability
:
Updated:
Michael Rappa Barred from the Securities Industry Over Private Securities Transactions
:
Updated:
Richard Cagle Barred by Financial Regulatory Over Investment Violations
:
Updated:
Jeffrey Blutstein Barred From the Securities Industry Over Undisclosed Activity
:
Updated:
Brenda Smith and Broad Reach Capital Charged By SEC With Fraud – Investor Recovery Options
:
Updated:
Ross Sinclaire & Associates Sanctioned Over Private Placement Practices
:
Updated:
Andre Davis Accused by Multiple Clients of Churning Their Accounts
:
Updated:
Broker Rick Konecny Has Several Suitability Complaints
:
Updated:
Former Broker Paul Soll Barred from the Securities Industry
:
Updated:
SagePoint Advisor Paul Mauro Subject to Multiple Investment Complaints
:
Updated:
Former Morgan Stanley Advisor Ian Deliz has Numerous Complaints Over Unsuitable Puerto Rico Bond Investments
:
Updated:
Broker Douglas Hyer Subject to Multiple Investment Complaints
:
Updated:
Broker Stephen Sullivan Subject to Excessive Trading Complaint
:
Updated:
Broker John Eads Has Several Complaints Alleging Misrepresentation of Variable Annuities
:
Updated:
Advisor Jeffrey Nesseth Subject to Complaints Over Alternative Investments
:
Updated:
Lloyd Johnston Subject to Complaints Over Alternative Investments
:
Updated:
Broker Michael Arteca Has Several Complaints Over Alternative Investments
:
Updated:
Broker Mark Upchurch Subject to Several Investment Complaints
:
Updated:
Advisor Bud McLaughlin Has A Complaint and A Bankruptcy Disclosure
:
Updated:
Advisor Thomas Murray Has Investment Complaint and Bankruptcy Disclosure
:
Updated:
Nicolas Barrios Barred From Financial Industry Over Investment Fraud Allegations
:
Updated:
Craig Siegel Has Excessive Trading Complaints – Suspended By Regulator
:
Updated:
Alberto Sanchez Barred From the Securities Industry Over Undisclosed Activity
:
Updated:
Matthew Crafa Has GPB Capital Investment Complaint
:
Updated:
Benjamin Bourgeois Terminated Over Converting Client Funds – Investor Recovery
:
Updated:
James Booth Being Investigated For Taking Money From Clients – Investor Recovery
:
Updated:
Advisor Shimshon Plotkin Has Complaints Over Alternative Investments
:
Updated:
Stephen Whittaker Discharged By Multiple Firms Over Business Practices
:
Updated:
Advisor Richard Pittman Has Complaints Over Alternative Investments
:
Updated:
Debra Bourne Has Excessive Trading Customer Complaints
:
Updated:
Winfield Capital Partners and Richard Hartnett – Investor Loss Recovery Options
:
Updated:
Mariemont Capital Partners and William Kielczewski – Investor Recovery Options
:
Updated:
GPB Capital Investors Suffer Massive Losses of Up to 60% – Investment Recovery
:
Updated:
Spire Securities’ CEO David Blisk Makes False Statements After Panel Awards $3 Million Against Him
:
Updated:
Spire Securities and Principals Found Liable For $3 Million Due to Supervisory Failures
:
Updated:
Advisor Craig Sherrer Subject Has Alternative Investment Complaint
:
Updated:
John Forrester Has Investment Complaints and Bankruptcy Disclosures
:
Updated:
John Busco Has More Than 10 Investment Complaints
:
Updated:
Private Placement Recovery Options – Investment Attorney
:
Updated:
Michael Bastardi Subject to Multiple Churning Complaints
:
Updated:
NorthStar Healthcare REIT Investors Suffer Massive Losses
:
Updated:
Gabriel Block Subject to Regulatory Actions and Churning Complaints
:
Updated:
Ricky Flatt Terminated Over Taking Money From Clients – Investor Recovery
:
Updated:
Wells Fargo Employed Risky Broker Leonard Kinsman
:
Updated:
Laidlaw’s Peter Viglione Subject to Multiple Churning Complaints
:
Updated:
Dana Hawkins Subject to Customer Disputes Over Structured Products
:
Updated:
SEC Brings Action Against Christopher McClure Over Undisclosed Fees
:
Updated:
Demos Argyros Subject to Investment Disputes
:
Updated:
Mitchell Black Has Several Variable Annuity Sales Practice Complaints
:
Updated:
Merrill Lynch Advisor Jeffrey Smith Subject to Multiple Investment Complaints
:
Updated:
Peter Goffin Subject to Multiple Investment Complaints
:
Updated:
Advisor Michael Lyle Has Annuity Complaints
:
Updated:
Advisor Alex Blanco Subject to Complaints Over Annuities and REITs
:
Updated:
Advisor Keith Kelt Subject to Complaints Over Alternative Investment Recommendations
:
Updated:
SagePoint Advisor Marvin Fisher Subject to A Complaint and Tax Liens
:
Updated:
Advisor Christopher Bice Subject to Complaints Over Annuities and REITs
:
Updated:
Massachusetts Regulator Investigates Wells Fargo Over Unsuitable Investment Advice
:
Updated:
Centaurus Advisor Michael Fassi Subject to Complaints Over Alternative Investment Recommendations
:
Updated:
Izhar Shefer Subject to Multiple Investment Complaints Over Options Trading
:
Updated:
Michael Mackay Terminated Over Unapproved Product Sales – Investor Recovery
:
Updated:
Chris Kubiak Arrested For Misappropriating Client Funds – Investor Recovery
:
Updated:
Derrick Trussell Barred Over Unapproved Product Sales – Investor Recovery
:
Updated:
Advisor Ashley Woodard Subject to Complaints Over REITs and Alternative Investments
:
Updated:
James Bylenga Accused of Borrowing Client Funds – Investor Recovery
:
Updated:
Advisor Richard Bernstein Has Investor Complaints
:
Updated:
Advisor Michael Greenfield Subject to Investment Complaints
:
Updated:
Advisor Kurt Jackson Subject to Complaints Over REIT Investments
:
Updated:
Advisor Paul Mante Alleged to Have Recommended Unsuitable Puerto Rico Municipal Bonds
:
Updated:
Xavier Patino Sanctioned Over Variable Annuity Sales Practices
:
Updated:
Yield Enhancement Strategy (YES) – Did Your Broker Downplay the Risk?
:
Updated:
James Heafner Allegedly Sold Fraudulent 1st Global Capital Securities
:
Updated:
Advisor Keith Kordich Subject to Customer Complaints Over Investment Practices
:
Updated:
William Hobby Subject to 23 Customer Complaints During His Career
:
Updated:
Robert High Accused of Misappropriating Funds – Investor Recovery
:
Updated:
Advisor James Anderson Terminated Over Promissory Note Sales
:
Updated:
Edward Matthes Accused of Misappropriating Funds – Investor Recovery
:
Updated:
Yield Enhancement Strategy (YES) Loss Recovery
:
Updated:
Summit Brokerage Broker Robert Berg Subject to Customer Complaints
:
Updated:
Sanctioned Broker Mohamed Yassin Subject to Excessive Trading Complaints
:
Updated:
Peter Bakalis Accused of Forged Client Investment Paperwork
:
Updated:
Advisor Mark Lamkin Subject to Complaints Over REIT Investments
:
Updated:
Securities America Broker Andrew Burdsall Has Investment Complaints
:
Updated:
Broker John Neely Subject to Regulatory Sanctions Over Unauthorized Trading
:
Updated:
Thomas Burns Subject to Complaints Over REIT Investments
:
Updated:
Raymond James Advisor William Council Alleged to Have Recommended Unsuitable Energy Securities
:
Updated:
Hilltop Securities Broker Mark Augusta Subject to 19 Customer Complaints
:
Updated:
Advisor Gary Meier Sanctioned by Washington State Over Penny Stock Trading
:
Updated:
Broker Jesse Krapf Has A Customer Complaint
:
Updated:
Advisor William Gordon Subject to Complaints Over Alternative Investments
:
Updated:
Ameriprise Advisor Stan Leavitt Has An Options Trading Complaint
:
Updated:
Morgan Stanley Broker Barry Speyer Subject to Multiple Customer Investment Complaints
:
Updated:
Advisor Michael Olinde Discharged Over Unapproved Business Activities
:
Updated:
John Spach Barred Over Securities Laws Violations
:
Updated:
Broker Ronald Rothchild Has Multiple Customer Investment Complaints
:
Updated:
Advisor Alan Dole Subject to Complaints Over Alternative Investments
:
Updated:
Advisor Christopher Bennett Alleged to Have Recommended Unsuitable Energy Securities
:
Updated:
Broker Philip Sparacino Subject to Churning Complaint
:
Updated:
Advisor Yousuf (Joe) Saljooki Subject to Multiple Churning Complaints
:
Updated:
Advisor Daniel Davila Subject to Complaint Over Alternative Investments
:
Updated:
Advisor Raymond Menna Has Multiple Public Disclosures Including Regulatory Action
:
Updated:
Advisor Dean Grant Arrested On Charges of Defrauding His Investment Clients
:
Updated:
Former Advisor Kristian Gaudet Criminally Charged For Stealing Client Funds
:
Updated:
Is GBP Capital A Ponzi Scheme? – FBI Now Investigating Firm
:
Updated:
Gana Weinstein LLP Files Complaint on Behalf of Client Related to Laidlaw & Company’s Offering of 5G Investment
:
Updated:
Raymond James Advisor George Mathis Has Five Investment Complaints
:
Updated:
Broker Mark Lamendola Barred Over Annuity Practices
:
Updated:
Advisor Daniel Levine Barred Over Claims of Misconduct
:
Updated:
Advisor Dudley Stephens Accused of Churning and Unapproved Product Sales
:
Updated:
Summit Brokerage Advisor Victor Rigoni Subject to Complaint Over Alternative Investments
:
Updated:
Universal Life Policy Holders Face Unfair Premium Increases
:
Updated:
WestPark Capital Advisor Philip Rosensweig Has Ten Investment Complaints
:
Updated:
Centaurus Financial Broker Atul Makharia Has Several Suitability Complaints
:
Updated:
Advisor William Burks Subject to Complaints Over Alternative Investments
:
Updated:
Ghazaleh Ebrahimi Subject to Investment Complaints
:
Updated:
Advisor Stephen Carver Has Multiple Disclosures Including Complaints and Regulatory Action
:
Updated:
Capitol Securities Broker Ian Greenblatt Sanctioned By Regulator Over Customer Disputes
:
Updated:
Advisor William Richardson Subject to Complaints Over Alternative Investments
:
Updated:
Advisor Kevin Wilson Subject to Multiple Customer Disputes Over Private Placements
:
Updated:
Former Raymond James Advisor Steven Reznik Has Over A Dozen Investment Complaints
:
Updated:
Herbert J. Sims Broker Robert Salles Subject to Complaints of Bond Sales
:
Updated:
Broker Sam Aziz Discharged Due to Regulatory Investigation Over Sales Practices
:
Updated:
National Securities Broker Robert Abramowitz Subject to Customer Complaints
:
Updated:
Advisor Robert Jamison Sanctioned Over Unapproved Securities Sales
:
Updated:
Advisor James Schwartz Subject to Multiple Churning Claim
:
Updated:
Advisor Gregory Williams Subject to Multiple Suitability Complaints
:
Updated:
Advisor George McCaffrey Accused of Selling Unapproved Products to Clients
:
Updated:
Advisor Christopher Hellman Accused of Misappropriating Client Funds
:
Updated:
Joseph Stone Capital Broker Joseph Ambrosole Subject to Churning Claim
:
Updated:
Advisor Nicholas Radke Barred by Regulator Over Unapproved Products
:
Updated:
Wenjinn Chang Subject to Complaints Over REITs and Alternative Investments
:
Updated:
Stifel, Nicolaus Advisor Lynn Faust Subject to Investor Complaints
:
Updated:
Advisor Noel Carino Barred by Regulator Over Unapproved Products
:
Updated:
Advisor David Phillips Accused of Selling Future Income Payments Investment Fraud
:
Updated:
IFS Securities Advisor Thomas Williams Subject to Churning Claims
:
Updated:
David Lerner Broker Scott Mass Subject to Suitability Complaints
:
Updated:
Garden State Securities Advisor Christhian Palacios Subject to Churning Claims
:
Updated:
Thurston Spinger Advisor Paul Muran Subject to Customer Complaints
:
Updated:
Kovack Securities Advisor Barbara Ralston Subject to Investor Complaints
:
Updated:
Centaurus Financial Broker Ricky Mantei Subject to Complaints Over Unsuitable Investments
:
Updated:
NYLife Broker Ronald Walker Subject to Complaints Over Annuity Practices
:
Updated:
Advisor Steven Reznik Subject to Numerous Suitability Complaints
:
Updated:
Network 1 Financial Advisor Wesley Clinton Subject to Several Unsuitable Investment Complaints
:
Updated:
Cetera Broker Travis Hughes Subject to A Dozen Customer Complaints
:
Updated:
Advisor Michael Heath Subject to Regulator Complaint and Employment Terminations
:
Updated:
Advisor Samuel Monchik Subject to Complaints Over Alternative Investments
:
Updated:
Advisor Kari Bracy Accused of Selling Future Income Payments Investment Fraud
:
Updated:
Charla Kabana Barred From the Securities Industry Over Variable Annuity Sales Practices
:
Updated:
Cetera Advisor Donna Hines Subject to Complaints Over REITs and Alternative Investments
:
Updated:
Westminster Financial Broker Peter Bittermann Subject to Regulatory Complaint
:
Updated:
Former Cetera Advisors Broker Scott Kozak Accused of Selling Unapproved Securities
:
Updated:
Investor Recovery – Advisor Sean Kelly Accused of Stealing More than $1 Million From Clients
:
Updated:
Raymond James Advisor Maria Hendershott Subject to Several Complaint Disclosures
:
Updated:
Investors File Complaints Against Reid & Rudiger Advisor Elvis Parkes Over Investment Suitability
:
Updated:
Former Morgan Stanley Advisor John Buck Accused of Selling Unapproved Securities
:
Updated:
Advisor Judith Bufis Accused of Engaging in Unapproved Securities
:
Updated:
Energy 11 and Energy Resources 12 Oil and Gas Private Placements – Investor Recovery Options
:
Updated:
Gana Weinstein LLP Files Complaint Related to Granite Retirement, Andrew Long, and Adam “Craig” Hendrix’s Alleging Violations of the Securities Laws
:
Updated:
First Capital REIT Investment Loss Options
:
Updated:
Former Morgan Stanley Advisor Michael Ralby Barred by Securities Regulator and Subject to Complaints
:
Updated:
Ponzi Scheme Investment Attorney – Recovery Options
:
Updated:
Advisor William Hightower Indicted On Charges of Securities Fraud – Investor Recovery Options
:
Updated:
Ameriprise Advisor Michael Pepe Accused of Unsuitable Investments by Multiple Clients
:
Updated:
Advisor Karl Foust Accused of Selling Unsuitable Wimbledon Health Partners
:
Updated:
Next Financial Advisor Charles Doraine Subject to Multiple Customer Complaints
:
Updated:
Advisor Charles Bloom Barred by Regulator Over Unsuitable Trading
:
Updated:
VII Peaks Co-Optivist Income BDC II – Investor Recovery Options
:
Updated:
Westpark Capital Advisor Marc Steinberg Subject to Suitability Complaints
:
Updated:
Advisor Jon Pariser Terminated Over Securities Rule Violation
:
Updated:
Former Mutual Securities Advisor Gary Pevey Accused of Selling Unapproved Securities
:
Updated:
Advisor John Schmidt Accused of Stealing Client Funds By SEC
:
Updated:
Amerprise Financial Advisor James Kujawski Has Customer Complaints and Regulatory Action
:
Updated:
Did A Aegis Capital Broker Recommend Biotech Stock Akers Biosciences?
:
Updated:
Brandon Stimpson Subject to Multiple Customer Complaints Over Put Options Trading
:
Updated:
Advisor Dexter Thomas Accused of Engaging in Client Loans and Unapproved Securities
:
Updated:
Investor Recovery Options: Global Credit Recovery, Rhino Capital, Kevin Merrill, and Jay Ledford $345 Million Ponzi Scheme
:
Updated:
Aegis Advisor Thomas Kelley Accused of Unsuitable Investments by Over a Dozen Clients
:
Updated:
Advisor Walter Parker Suspended Over Alternative Investment Sales Practices
:
Updated:
Advisor Floyd Powell Accused of Selling Fraudulent Securities
:
Updated:
Advisor Stephen Murray Subject to Allegations of Excessive Trading
:
Updated:
Advisor Jeffrey Schwebach Terminated Over Securities Rule Violation
:
Updated:
Advisor Jason McBride Has Customer Complaints Over REIT Investments
:
Updated:
Clarence McGill Barred by Regulatory Over Unsuitable Investment Products
:
Updated:
Advisor Andrew Scheirer Subject to Multiple Complaints Over Alternative Investments
:
Updated:
Ameriprise Advisor Eric Stuckey Subject to Multiple Complaints Over Unsuitable Investments
:
Updated:
Advisor Ray Reese Has Customer Complaints Over Alternative and Real Estate Investments
:
Updated:
Advisor Mitchell Kurtz Termnated Over Unapproved Product Sales and Ethical Violations
:
Updated:
Mariondy Fernandez Subject to $1,900,000 Customer Complaint Alleging Damages in Puerto Rico Municipal Bond Investments
:
Updated:
Donnell Bowen Barred by FINRA for Altering Client Records
:
Updated:
Advisor Michael Polyakov Subject to Multiple Allegations of Excessive Trading
:
Updated:
First Standard Financial Advisor Roy Failla Subject to Multiple Allegations of Excessive Trading
:
Updated:
Morgan Stanley Broker Barry Garapedian Has Numerous Customer Complaints
:
Updated:
Previously Registered Broker Laurence Greene Subject to Unsuitable Oil and Gas Securities Complaints
:
Updated:
Raymond James Advisor George Puliafico Alleged to Have Recommended Unsuitable Energy Securities
:
Updated:
G.A. Repple Advisor Alan Siegel Subject to Regulatory and Customer Complaints
:
Updated:
J.J.B. Hilliard Advisor Michael Barnett Alleged to Have Recommended Unsuitable Energy Securities
:
Updated:
William Brunner Barred From Securities Industry After Allegations of Excessive Trading
:
Updated:
Hilltop Securities Advisor Walter Valenzuela Subject to Multiple Customer Complaints
:
Updated:
Erik Pica Subject to Multiple Customer Complaints Over Unauthorized Trading
:
Updated:
Newbridge Securities Advisor Dana Davis Subject to Multiple Allegations of Excessive Trading
:
Updated:
David Lerner Advisor Robert Cavanagh Subject to Multiple Customer Complaints
:
Updated:
Advisor David Barber Barred Over Unauthorized Trading
:
Updated:
Cetera Advisor’s Jerry Michna Alleged to Have Recommended Unsuitable Energy Securities
:
Updated:
Advisor Philip Nalesnik Terminated Over Outside Business Activity Violations
:
Updated:
Donald Woods Has Customer Complaints Over Alternative and Real Estate Investments
:
Updated:
Centaurus Financial Advisor Cindy Chiellini Subject to Multiple Customer Disputes
:
Updated:
Christopher Hibbard Accused of Misappropriating Client Funds
:
Updated:
Merrill Lynch Broker Charles Kenahan Subject to Multiple Complaints Over Unsuitable Investments
:
Updated:
Geneos Wealth Broker Bradley Tennison Barred for Selling Away Practices
:
Updated:
American Finance Trust Inc. (AFIN) – Investor Recovery Options
:
Updated:
Advisor Suhail Khan Barred by Securities Regulator
:
Updated:
Kenny Kim Has Numerous Customer Complaints Over Alternative Investments
:
Updated:
GPB Capital Investors Await Accounting Revisions
:
Updated:
Advisor Clifton Roberts Discharged Over Undisclosed Business Activity – Investment Attorneys
:
Updated:
Worden Capital Financial Advisor Michael Rosalia Subject to Customer Complaints
:
Updated:
Steven Knuttila Subject to Numerous Customer Complaints Over Alternative Investments
:
Updated:
Frank Zito Discharged Over Selling Unapproved Financial Product
:
Updated:
Nina Jessee Has Over 20 Customer Complaints Over Alternative and Real Estate Investments
:
Updated:
Steven Crawford Subject to Multiple Complaints Alleging Unsuitable Alternative Investments
:
Updated:
Donna Barnard Accused of Selling Fraudulent Woodbridge Mortgage Investments to Clients
:
Updated:
Gana Weinstein LLP Files Multiple Cases on Behalf of Clients of Tamara Steele Who Invested in Behavior Recognition Systems
:
Updated:
Advisor Alex Herrera Barred Over Sale of Unapproved Products
:
Updated:
UBS Advisor John Maccoll Charged With Running An Investments Scam – Investor Recovery Options
:
Updated:
Financial Elder Abuse Attorney
:
Updated:
ARO Equity Investment Fraud Recovery Options
:
Updated:
Bradley Ford Subject to Multiple Complaints Alleging False Representation of Investments
:
Updated:
Aeon Capital Broker Wayne Miller Suspended by FINRA for Failure to Supervise
:
Updated:
Broker Adam Goodman Subject to Multiple Customer Complaints Alleging Unauthorized Trades
:
Updated:
Bryan Musso Subject to Unsuitable Oil and Gas Investment Complaints
:
Updated:
Broker Robert Ginsberg Subject to Pending Complaint in Unsuitable REITs
:
Updated:
Wells Fargo Settles Advisor Peter Malis’ Dispute for $1,100,000
:
Updated:
Advisor Joseph Yanofsky Sanctioned Over Unauthorized Trading
:
Updated:
Daniel Flores Discharged Over Selling Unapproved Financial Product
:
Updated:
Advisor Stacy Cheney-Jamison Sanctioned Over Private Investment Sales
:
Updated:
Advisor Thomas Sova Terminated Over Unapproved Product Sales
:
Updated:
John Ernst Terminated Over Sale of Fraudulent Woodbridge Mortgage Investments
:
Updated:
Broker Randy Scott Schneider Subject to Various Complaints over Alternative Investments
:
Updated:
Temenos Advisory, Inc. and Its CEO Accused of Peddling $19 Million in Risky Investments – Investor Recovery Options
:
Updated:
Matthew Walker and Pinnacle Plus Financial Allegedly Sold Fraudulent 1st Global Capital Securities
:
Updated:
Woodstock Financial Group Advisor Joseph Derrico Subject to Complaint Over Excessive Trading
:
Updated:
FINRA suspends Chelsea Financial Broker George Warner for Filing Inaccurate Client Records
:
Updated:
1st Global Capital Fraud Recovery Options
:
Updated:
Merrill Lynch Advisor Charles Kenahan Subject to Multiple Complaints Over Unsuitable Investments
:
Updated:
Advisor John Krohn Sanctioned Over $7.9 Million in Sales for Private Deals
:
Updated:
Joel Flaningan Terminated Over Sale of Fraudulent Woodbridge Mortgage Investments
:
Updated:
Jaret Mutter Subject to Multiple Complaints for Unsuitable Investments in UITs
:
Updated:
Mark Kaplan Barred by Regulator Over Churning a Customer Account
:
Updated:
Rocco Roveccio Subject to Customer Complaint Requesting over $1,500,000 in Damages
:
Updated:
FINRA Suspends Mason Gann for Unauthorized Trades at Berthel Fisher
:
Updated:
David Manor Subject to Multiple Complaints Alleging Unsuitable Investments
:
Updated:
FINRA Bars Matthew Singer for Alleged Unsuitable Option Investments
:
Updated:
Broker Michael Morrissett Subject to $2,300,000 Unsuitable Hedge Fund Dispute
:
Updated:
Synery Investment Advisor Alan New Accused of Selling Fraudulent Woodbridge Mortgage Investments
:
Updated:
Gana Weinstein LLP Wins $5 Million FINRA Arbitration Award against a New York Broker-Dealer for Churning
:
Updated:
FINRA Bars Bradley Tennison for Alleged Selling Away Practices
:
Updated:
Financial Advisor Edward Klug Subject to Multiple Tax Liens
:
Updated:
SII Investments Terminates Frank Cuenca Over Variable Annuity Practices
:
Updated:
Gregory Hill Subject to Pending Complaint Over Annuity Sales
:
Updated:
Advisor Richard Minichino Subject to Customer Complaints Over Annuities
:
Updated:
Broker Miguel Murillo Subject to Pending Complaint Alleging Unsuitable Investments
:
Updated:
Paul Dangelo Subject to Customer Complaint Alleging Unsuitable Puerto Rico Bond Investments
:
Updated:
Joseph Pratte Barred By Financial Regulator Over Unapproved Business Activities
:
Updated:
FINRA Bars Sanders Spangler for Alleged Unauthorized Trades
:
Updated:
Matthew Kerby Barred by FINRA Over Allegations of Converting Customer Funds
:
Updated:
Premium Point Investments Investor Recovery Options
:
Updated:
Former Voya and Ameriprise Broker James Knee Accused of Misappropriating Nearly $500,000 in Client Funds
:
Updated:
Edward Mirabella Subject to Multiple Customer Complaints for Unsuitable Unauthorized Transactions
:
Updated:
Healthcare Trust REIT Value Falls Even Further – Investment Loss Options
:
Updated:
Charles Dixon Barred By Regulator Over Unauthorized Trade Allegations
:
Updated:
David Scholl Sanctioned Over Sale of Fraudulent Woodbridge Mortgage Investments
:
Updated:
Raymond James Advisor Matthew Werthe Alleged to Have Recommended Unsuitable Securities
:
Updated:
Thomas O’Brien Subject to Customer Complaint Alleging over $5,000,000 in Damages
:
Updated:
Broker Jennifer Ling Accused of Selling Aequitas Ponzi-Scheme Investments to Customers
:
Updated:
Broker Shaun Hayes Subject to Unauthorized Trading Complaints
:
Updated:
Timothy Gibbons Suspended by FINRA for Unsuitable Investments in Energy Stocks
:
Updated:
Stephen Dellelo Subject to Pending Customer Complaint Alleging $900,000 in Damages
:
Updated:
The Parking REIT (MVP REIT II) Investment Loss Options
:
Updated:
Jeffrey Eglow Subject to Multiple Complaints Alleging Unsuitable Alternative Investments
:
Updated:
Edward Davig Subject to One Customer Complaint Alleging $500,000 in Losses
:
Updated:
Advisor Howard Utz Under FBI and SEC Investigation Over Securities Dealings
:
Updated:
Essex Capital Corporation Charged By SEC In $80 Million Fraud – Investor Recovery Options
:
Updated:
Borland Capital Group and Belize Infrastructure Fund Recovery Options
:
Updated:
Customers Allege Jerry Raines Recommended Investments in the Woodbridge Mortgage Fruad
:
Updated:
Financial Advisor Todd Meier Terminated Over Customer Misconduct
:
Updated:
Lawrence Fawcett Barred By FINRA and Subject to Churning Complaints
:
Updated:
FINRA Suspends Charles Lundell for Unauthorized Trading
:
Updated:
David Reynolds Barred by FINRA for Withholding Requested Documents
:
Updated:
Future Income Payments, LLC Investment Recovery Options
:
Updated:
Robin Reading Sanctioned Over Sale of Fraudulent Woodbridge Mortgage Investments
:
Updated:
John James Barred by FINRA Over Allegations of Outside Business Activity
:
Updated:
Felipe Arrieta Subject to Customer Complaints Alleging Unauthorized Trades
:
Updated:
Samuel Rankin Subject to Two Pending Customer Disputes for Mismanaging Funds
:
Updated:
Sandeep Varma Sanctioned by FINRA for Providing Misleading Claims on CRT Stategy
:
Updated:
Advisor Herbert Voss Barred By Financial Regulator Over Unauthorized Trading
:
Updated:
Michael Hagan subject to Multiple Customer Disputes for Unsuitable Investment Recommendations
:
Updated:
FINRA Suspends Giustino Destefano for Unauthorized Trades
:
Updated:
Broker Patrick Maddren Subject to Multiple Securities Fraud Allegations
:
Updated:
Bruce Musselman Subject to Customer Complaints Alleging Unsuitable Investments
:
Updated:
FS Energy & Power Fund Investment Loss Options
:
Updated:
Madison Timber Properties Ponzi Scheme Recovery Options
:
Updated:
FINRA Suspends Derrick Watts for Providing Misleading Information on Documents
:
Updated:
Mark Solomon Accused of Selling $1.4 Million In Private Placements Without Notifying His Firm
:
Updated:
Wells Fargo Terminates Robert Meyers for Recommending Private Investments
:
Updated:
James Flynn Subject to at Least 10 Customer Complaints Over Alternative Investments
:
Updated:
Larry Boggs Barred by FINRA from Industry for Executing Unauthorized Trades
:
Updated:
Frank Dietrich Terminated Over Sale of Fraudulent Woodbridge Mortgage Investments
:
Updated:
Charles Stevens Subject to Multiple Customer Complaints Over Alternative Investments
:
Updated:
Matthew Paolucci Subject to Multiple Customer Complaints Alleging Unsuitable Investments
:
Updated:
James and Lorraine Conaway Accused of Selling Unapproved Tycon Properties to Investors
:
Updated:
Broker George Oldoerp Sanctioned for Obstructing FINRA Investigation
:
Updated:
Aaron Brodt Subject to Multiple Customer Complaints Alleging Breach of Fiduciary Duty
:
Updated:
Laidlaw & Company Advisor Osbert Haynes Subject to Complaints and Tax Liens
:
Updated:
Laurence Pettit Subject to Multiple Complaints Alleging Improper Use of Discretion
:
Updated:
The SEC Bars Daniel Fischer for Unsuitable Churning In Customer Accounts
:
Updated:
Andrew Pravlik Subject to Customer Complaints Alleging Unsuitable Investments
:
Updated:
Sonhee Cho Subject to Customer Complaint Alleging Unsuitable REIT Investments
:
Updated:
Gerald Repasz Subject to Customer Disputes Alleging Unsuitable Alternative Investments
:
Updated:
Stephen Williams Subject to Multiple Customer Disputes over REITs and Alternative Investments
:
Updated:
David Watkins Subject to Pending Customer Complaint Alleging $5,000,000 in Damages
:
Updated:
Gary Forrest Sanctioned Over Sale of Fraudulent Woodbridge Mortgage Investments
:
Updated:
Mitchell Walk Subject to Multiple Customer Complaints for Unsuitable Investments
:
Updated:
Dee Dee Brooks Resigns During Woodbridge Mortgage Fraud Investigation
:
Updated:
Thomas Curtis Subject to Unsuitable Investment Complaint Alleging Over $4,000,000 in Losses
:
Updated:
FMSBonds Advisor Zachary Feinsilver Alleged to Have Recommended Unsuitable Puerto Rico Municipal Bonds
:
Updated:
Jason Zwibel Subject to Pending Customer Complaint for Alleging Over $2.5 Million in Damages
:
Updated:
Thomas Logue Subject to Multiple Pending Complaints for Unsuitable Investments
:
Updated:
GPB Capital Investor Recovery Options
:
Updated:
Michael Resciniti Suspended by FINRA for Executing Unauthorized Transactions
:
Updated:
Jorey Bernstein Subject to a Pending Customer Complaint Alleging $3,000,000 in Damages
:
Updated:
David Ferwerda and Sandra Ferwerda Accused of Selling Woodbridge Mortgage Fraudulent Investments
:
Updated:
Is Hector May Your Financial Advisor? – Investor Recovery Options
:
Updated:
Sean Brady Barred By FINRA Over Complaints Concerning Alternative Investment Sales Practices
:
Updated:
ARO Equity and Thomas Renison Investor Recovery Options
:
Updated:
Defrauded Investors: SEC Accused First Nationle Solution, United RL Capital, and Percipience Global of Being a $102 million Ponzi Scheme
:
Updated:
Dennis Travis Subject to Customer Disputes Over Unsuitable Variable Annuity Practices
:
Updated:
Justin Vaccaro Subject to Multiple Customer Disputes for Alleged Committed Fraud
:
Updated:
Broker Jeffrey Mcaleney Subject to 10 Customer Disputes Over Unsuitable Investments
:
Updated:
Cormac Maughan Subject of Pending Customer Complaint Alleging Unsuitable Bond Investments
:
Updated:
Patrick McNamara Subject to Multiple Customer Complaints for Unsuitable Investments
:
Updated:
Michael Mathias Subject to One Pending Customer Complaint Alleging Unsuitable Investments
:
Updated:
Alvery Bartlett Subject to Multiple Customer Complaints Over Alternative Investments
:
Updated:
Ameriprise Financial Advisor Anthony Salerno Alleged to Have Recommended Unsuitable Securities
:
Updated:
FINRA Suspends Brad Lawing for Unsuitable Investment Recommendations
:
Updated:
Mark Chamberlain Subject to Multiple Customer Complaints
:
Updated:
Janney Montgomery Scott Advisor Jack Griffith Subject to Multiple Complaints Over Unsuitable Investments
:
Updated:
Advisor Oscar Francis Terminated By MML Investor Services After Private Securities Transactions Discovered
:
Updated:
Advisor Brian Travers Barred By Regulator For Failing to Disclose Securities Transactions
:
Updated:
John Maloney Has Multiple Customer Complaints Over Unsuitable Investments
:
Updated:
Former Royal Alliance Broker Kimberly Kitts Accused of Misappropriating Nearly $2 Million in Client Funds
:
Updated:
Anthony Sica Subject to Multiple Regulatory Sanctions and Customer Complaints
:
Updated:
Did John Pronovost Sell You the LJM Preservation Growth Fund?
:
Updated:
Dave Nicolas Has Been Subject to a Customer Complaint
:
Updated:
Previously Registered Broker Alexander Kibrik Subject to Two Pending Complaints
:
Updated:
LPL Financial Broker Stephen Garrett Subject to Customer Complaints
:
Updated:
FINRA Suspends Broker Donald Southwick
:
Updated:
Gana LLP Investigates LJM Preservation and Growth Fund
:
Updated:
Washington Post says Gana LLP “will fight tooth and Nail” for Its Clients.
:
Updated:
Former Broker Martin Olson Accused of Violating Securities Law
:
Updated:
Morgan Stanley Broker Theodore Crowley Subject to a Customer Complaint
:
Updated:
Broker Brent Lott under FINRA Investigation
:
Updated:
Broker Keith Michelfelder’s FINRA Registration is Revoked
:
Updated:
FINRA Suspends Broker Luigi Mancusi
:
Updated:
Brian Royster Barred For Borrowing Client Funds
:
Updated:
Broker Lyle Boudreaux Subject to Multiple Customer Complaints
:
Updated:
Berthel Fisher Broker Jonathan Pyne Subject to Customer Complaints Over Alternative Investments
:
Updated:
Gana LLP Files Case on Behalf of Clients of Tamara Steele Who Invested in Behavior Recognition Systems
:
Updated:
Robert Clarke Subject to Multiple Customer Complaints
:
Updated:
James Lowther Alleged to Have Recommended Unsuitable Oil & Gas Securities
:
Updated:
FINRA Suspends Kenneth Savino for Selling Away
:
Updated:
Jeffrey Wilson Alleged to Have Recommended Unsuitable Oil & Gas Securities
:
Updated:
Broker Clifford Vatter Terminated for Unauthorized Trading
:
Updated:
Elaine LaCerte Suspended from Securities Industry
:
Updated:
ARC New York City REIT Investment Loss Options
:
Updated:
Teryl Trenchard Under Investigation For Securities Fraud
:
Updated:
Broker Jeffrey Eglow Subject to Multiple Customer Complaints
:
Updated:
Anthony Ferrara Subject to Customer Complaints Over Variable Universal Life Policies
:
Updated:
James Cox Suspended from Securities Industry
:
Updated:
John Schneider Has Multiple Customer Complaints Over Investment Losses
:
Updated:
James Merkel Terminated by Merrill Lynch Over Private Securities Sales
:
Updated:
Jeanette Adcock Sanctioned by FINRA
:
Updated:
Michael McTigue Terminated by ProEquities Over Multiple Rule Violations
:
Updated:
Benefit Street Partners Realty Trust REIT Investment Loss Options
:
Updated:
Ahmed Gheith Terminated by Paulson Investment Over Sale of Promissory Note
:
Updated:
Masood Azad Barred by FINRA Over Securities Sales Practices
:
Updated:
William Paynter Alleged to Have Recommended Unsuitable Oil & Gas Investments
:
Updated:
Advisor Jerry Guttman Barred For Investing $7,000,000 of Client Funds in Private Companies
:
Updated:
Joseph Cotter Sanctioned Over High Commissions and Excessive Trading
:
Updated:
SEC Accuses Payson Petroleum 3 Well 2014 Owners Of Fraud
:
Updated:
William Heiden Accused of Concentrating Customers in Oil & Gas Investments
:
Updated:
Coleman Devlin Sanctioned By FINRA Over Unauthorized Trading
:
Updated:
Donald Devito Subject to Numerous Complaints Over Excessive Trading
:
Updated:
Broker George Warner Sanctioned Over Altering Client Records
:
Updated:
Kenneth Jones Terminated Undisclosed Outside Business Activities
:
Updated:
Broker Martin Stevens Subject to Multiple Customer Complaints
:
Updated:
Broker Robert Hoffmann Sanctioned Over Failure to Disclose Financial Difficulties
:
Updated:
Wells Fargo Sanctioned and Fined Over VIX Sales Practices
:
Updated:
Teryl Trenchard Under FINRA Investigation for Fraud
:
Updated:
Broker Tommy Mai Sanctioned by FINRA
:
Updated:
CEO of Brokerage Firm Financial West Group Sanctioned Over Private Placement Practices
:
Updated:
Former Morgan Stanley Broker Peter Doyle Barred by FINRA
:
Updated:
Summit Healthcare REIT Investment Loss Options
:
Updated:
Clement Chichester and Brittney Sias Barred Over Claims of Receiving Customer Funds
:
Updated:
Investment Advisor Nadav Baum Subject to Fourteen Customer Complaints
:
Updated:
Patrick Maddren Subject to Customer Complaint For Excessive Trading
:
Updated:
Aegis Capital Broker Paul Falcon Receives Customer Complaints over Unsuitable Trades
:
Updated:
Alonza Barnett Barred By FINRA Over Failure to Respond to Requests for Information
:
Updated:
FINRA Bars former Wells Fargo Broker John Leonard
:
Updated:
Hiring a FINRA Attorney
:
Updated:
The Department of Labor Fiduciary Rule May Impact Securities Arbitration Claims
:
Updated:
Broker Joseph Sterling Subject to Customer Complaints Over Real Estate Investments
:
Updated:
Update: Advisor Sonya Camarco Faces New Charges
:
Updated:
Advisor Joseph Rodriguez Subject to Bond Related Customer Complaints
:
Updated:
Healthcare Trust REIT Investment Loss Options
:
Updated:
Michael Keane Subject to Customer Complaints Over Concentrated Oil & Gas Investments
:
Updated:
Leon Rehak Subject to Customer Complaints For Excessive Trading
:
Updated:
Advisor Victor Sibilla Subject to Multiple Customer Complaints
:
Updated:
Advisor Frederick Houck Sanctioned Over Unauthorized Trading
:
Updated:
Dennis McMurray Barred Over Claims of Private Securities Transactions
:
Updated:
Jonathan Freeze Barred By FINRA Over Variable Annuity Practices
:
Updated:
Advisor Anthony Vultaggio Barred By FINRA in Connection With Undisclosed Sales of Securities
:
Updated:
Christopher Parr Under Investigation in Connection With Borrowing Client Funds
:
Updated:
Janney Montgomery Scott Broker Christopher Sinkula Subject to Customer Complaints
:
Updated:
Christopher Wendel Terminated Over Claims of Private Securities Transactions
:
Updated:
Kestra Broker Herbert Smith Subject to Complaint Over Oil and Gas Investments
:
Updated:
Terry Bahgat Accused by SEC of Misappropriating Client Funds
:
Updated:
Woodbridge Mortgage Fund – Gana LLP Investor Fraud Investigation
:
Updated:
FINRA bans Broker Christopher Jorgensen
:
Updated:
Former LPL Financial Broker Daniel Pugel Subject to Multiple Customer Complaints
:
Updated:
Broker Dennis Rasmusson Subject to Customer Complaints
:
Updated:
$2 Billion EnerVest Private Equity Fund Collapses – Investor Recovery Options
:
Updated:
Advisor Lewis Robinson Sanctioned By FINRA
:
Updated:
Advisor Jonathan Iraggi Terminated Over Unauthorized Trading
:
Updated:
Advisor Jeffrey Smith Sanctioned Over Forged Account Documents
:
Updated:
American Finance Trust REIT Investment Loss Options
:
Updated:
Seniors Continue to Be At High Risk of Financial Exploitation
:
Updated:
Look out for the Top 10 Types of Investment Scams
:
Updated:
Wells Fargo Must Pay $3.4 million for Selling Investments It Didn’t Understand
:
Updated:
Advisor Scott Newsholme Accused of Stealing More than $1 Million From Clients
:
Updated:
Advisor David Zier Investigated Over ZAM Fund Investment Scheme
:
Updated:
Advisor William Glaser Under FBI Investigation in Connection With Paul Creager Real Estate Securities
:
Updated:
Advisor Bruce Barber Barred By FINRA After Engaging in Private Securities Transactions
:
Updated:
Financial Advisor Jay Jordan Barred Over Risky EFT Trading Leading to $8.4 Million in Losses
:
Updated:
Former RBC Advisor Patrick Hudson Sanctioned Over Real Estate Sales
:
Updated:
Advisor Peter Doyle Sanctioned by FINRA Over Unauthorized Trading
:
Updated:
Strategic Realty Trust Investment Loss Options
:
Updated:
Susan Welo Sanctioned By the State of North Dakota Over Securities Advice
:
Updated:
Former LPL Broker Jason Anderson Sued by Elderly Customers
:
Updated:
Former Advisor Clark Gardner Charged With Securities Fraud For Stealing $1.3 Million
:
Updated:
Austin Dutton and Newbridge Securities Sanctioned By the State of Pennsylvania Over Securities Sales
:
Updated:
Gana LLP Investigates Bakken and Coachman Private Placement Investment Losses
:
Updated:
Investors Continue to File Puerto Rico Bond Investment Claims
:
Updated:
Gana LLP Investigates David A. Noyes Sales of Behavioral Recognition Systems (a/k/a Giant Grey)
:
Updated:
Advisor Adam Veron Barred Over Contract Funding Securities Transactions
:
Updated:
Wells Fargo Advisor Regan Rohl Has Multiple Complaints Over Oil & Gas Investments
:
Updated:
Raymond James Terminates Broker James Lyons Over Unauthorized Trades
:
Updated:
Broker Investigation: Financial Advisor James Dresselaers
:
Updated:
Advisor Joe Hede Terminated By Paulson Investment Company Over Private Securities Transactions
:
Updated:
James Geake Subject to Variable Annuity and Alternative Investment Complaints
:
Updated:
Gana LLP Investigates Pharmaceutical Companies Underwritten by Brokerage Firms
:
Updated:
Advisor Peter Butler Terminated Over Private Securities Sales
:
Updated:
FINRA Bars Former First Allied Broker John Kai
:
Updated:
American Realty Capital Hospitality Investors Suffer Losses
:
Updated:
FINRA Bars Advisor William Wyman Over Private Securities Transactions
:
Updated:
FINRA Bars Former AXA Representative John P. Correnti
:
Updated:
Newbridge Securities Advisor Gaetano “Guy” Magarelli Subject to Multiple Customer Complaints
:
Updated:
Advisor Todd Ryman Subject to Multiple Customer Complaints
:
Updated:
Broker Ann Comcowich Barred by FINRA
:
Updated:
Advisor Paul Smith Barred By FINRA Over Haverford Group Securities Sales
:
Updated:
Investors File Complaints Against Advisor Jeffrey Grayson
:
Updated:
Regulators Accuse Yasuna Murakami, Avi Chiat, and MC2 Capital Management of Defrauding Over 50 Investors
:
Updated:
SEC Charged Financial Advisor Leon Vaccarelli with Defrauding Investors in Ponzi Scheme
:
Updated:
LPL Financial Advisor Sonya D. Camarco Accused by SEC of Misappropriating over $2.8 Million of Client Funds
:
Updated:
Broker Michael Siva Arrested for Insider Trading
:
Updated:
Adam Gana Interviewed By Jesse Weber on LawNewz
:
Updated:
Adam Gana, Managing Partner of Gana LLP Interviewed on LawNewz
:
Updated:
Broker David Menashe Sanctioned For Excessive and Unauthorized Trading
:
Updated:
Broker Dan Droeg Subject to Unsuitability Complaints
:
Updated:
Financial Advisor Gregory Pease Subject to Multiple Customer Complaints
:
Updated:
Broker Gregory Tucker Subject to Multiple Customer Complaints
:
Updated:
Broker David Silberg Subject to Multiple Customer Complaints
:
Updated:
Broker Clay Hoffman Barred by FINRA
:
Updated:
Broker Alan Rose Receives Customer Complaints over Unsuitable Trades
:
Updated:
Financial Advisor Gary Rasmussen Receives Customer Complaints Over Unsuitability
:
Updated:
Customers File Complaints Against Broker Sean Mcelduff
:
Updated:
Thrivent Investment Management Subject to Complaint by State of Illinois Over Variable Annuity Practices
:
Updated:
Broker Scott Goldman Subject to Unsuitability Complaints
:
Updated:
Financial Advisor John Nelson Crook Receives Alleged Unauthorized Trading Complaints
:
Updated:
Broker Elaine Marie Zito Subject to Multiple Customer Complaints
:
Updated:
Nicolas Toadvine Subject to Customer Complaints Over REITs and Real Estate Investments
:
Updated:
Advisor Walter Starghill Terminated by Lincoln Investment Over Private Securities Transactions
:
Updated:
Advisor Dion Padilla Sanctioned Over Variable Annuity Misconduct
:
Updated:
Michael Spolar Sanctioned By FINRA Over Unauthorized Trading
:
Updated:
Advisor Brian Murphy Sanctioned By FINRA Over Outside Business Activities
:
Updated:
FINRA Bars Advisor Michael DeBoer Over Private Securities Transactions
:
Updated:
Gerhard Heuer Subject to Customer Complaints Over Variable Universal Life Policies
:
Updated:
Ameriprise Broker Jonathan Mirer Subject to Multiple Customer Complaints
:
Updated:
Kevin Curry Sanctioned By FINRA Over Unauthorized Trading
:
Updated:
Morgan Stanley Broker Michael Fitz-Gerald Subject to Customer Complaints
:
Updated:
FINRA Files Complaint Against Dennis Mehringer Over Mutual Fund Switching
:
Updated:
Lee Rosenberg Subject to Variable Annuity Complaint
:
Updated:
Broker John Hudson Has Massive Tax Liens
:
Updated:
Advisor Thomas Oliphint Terminated By LPL Financial Over Outside Business Activities
:
Updated:
Abraham Heimann Subject to Multiple Customer Complaints
:
Updated:
Richard Lucker Subject to $14,000,000 Customer Complaint
:
Updated:
Financial Adviser Michael Jay Sharenow Subject to Multiple Client Disputes
:
Updated:
James Lynn Subject to Multiple Complaints Over REIT Investment Sales
:
Updated:
Gana LLP Files Complaint on Behalf of Dean Mustaphalli Investors (Update)
:
Updated:
Tom Parks Subject to 23 Complaints Over Oil and Gas Investments
:
Updated:
Advisor Aaron Robert Parthemer Subject to New Customer Allegations
:
Updated:
Broker Henry Watson Barred By FINRA Over Securities Practices
:
Updated:
UBS Broker Margaret Lech-Loubet Subject to Customer Complaints Over Energy Related Investments
:
Updated:
FINRA Sanctions Broker John Oldham Over Alternative Investment Sales
:
Updated:
Money Concepts Broker Craig Sutherland Subject to Multiple Customer Complaints
:
Updated:
Broker Michael Hebner Subject to Multiple Customer Complaints Over Securities Practices
:
Updated:
FINRA Bars Broker Daniel Vazquez – Accused Of Unsuitable Securities Sales
:
Updated:
FINRA Bars Broker Clay Hoffman Over Unauthorized Trades
:
Updated:
Should I Contact An Attorney If I’ve Been the Victim of Securities Fraud?
:
Updated:
Broker Jeffrey Hill Subject to Multiple Regulatory and Customer Complaints
:
Updated:
FINRA Bars Broker David Sheppard Over Excessive Trading and Churning
:
Updated:
FINRA Bars Norman Farra Jr. Over Private Securities Transactions
:
Updated:
Ameriprise Financial Terminates Stephen Mosley Over Private Securities Transactions
:
Updated:
Broker Andrew Elsoffer Faces Allegations of Securities Fraud
:
Updated:
Broker Rodger James Burskey Subject to Multiple Customer Complaints
:
Updated:
FINRA Bars Broker Andrew Kramer Over Securities Practices
:
Updated:
Investor Recovery: Mark Sellers and Selden Companies $10 Million Investment Fraud
:
Updated:
Broker Todd Douglas Ryman Subject to Multiple Customer Complaints
:
Updated:
Waddell & Reed Terminates Paul Stanley Over Violation of Firm Policies
:
Updated:
Thomas Sullivan Subject to Churning Complaints
:
Updated:
Broker Joeann Mitchell Walker Subject to Alleged Unsuitable Trades of Variable Annuities
:
Updated:
Broker James Paul Kolf Barred from FINRA
:
Updated:
FINRA Bars Norman Farra Jr. Over Private Securities Transactions
:
Updated:
LPL Financial Terminates Christopher Russell Over Private Securities Transactions
:
Updated:
Barry Connell Accused by SEC of Misappropriating $5 Million of Client Funds
:
Updated:
Broker Robert Schultz Subject to Multiple Customer Complaints
:
Updated:
Stephen Swarbrick Subject to Multiple Complaints Over Equipment Leasing and Oil and Gas Investments
:
Updated:
FSC Securities Broker Brian Presley Subject to Multiple Alternative Investment Complaints
:
Updated:
Tripoint Global Equities, Robert Nathan, Mark Elenowitz, and Michael Boswell Accused of Raising Funds for Hamilton Ponzi Scheme
:
Updated:
Former LPL Financial Advisor Paul Dorion Terminated For Unauthorized Trading
:
Updated:
FINRA Bars Advisor Juan Alejos (a/k/a John Alejos) Over the Sale of Private Investments
:
Updated:
Financial Advisor Sara Eng Subject to Multiple Firm Terminations
:
Updated:
Broker Louis Frederick Scherschel Subject To Customer Complaint
:
Updated:
Advisor Douglas Donnelly Sanctioned Over Recommending Private Placements
:
Updated:
FINRA Bars John Hudnall Over Non-Traded REIT Transactions
:
Updated:
FINRA Sanctions Broker Paul Alexander For Unauthorized Trading
:
Updated:
Richard Cody Under SEC Fraud Investigation For Misleading Client About their Funds
:
Updated:
FINRA Bars Advisor Michael Babyak Over the Sale of Unapproved Investments
:
Updated:
Massachusetts Fines LPL Financial and Roger Zullo $3.7 Million Over Annuity Sales
:
Updated:
INVESTOR WARNING: Broker Malcolm Segal is the Subject of Multiple Customer Complaints and Regulatory Actions
:
Updated:
INVESTOR ALERT: Broker David James Mura Subject To Multiple Customer Complaints
:
Updated:
INVESTOR WARNING: Broker Stanley Clayton Niekras Subject to Multiple Complaints by Investors and FINRA
:
Updated:
Broker Investigation: Claims Against Broker Swan Sihua Shen
:
Updated:
Broker Tracy Rae Turner barred from FINRA
:
Updated:
Broker Thomas Edward Gackle Barred For Failing To Cooperate With Regulatory Investigation
:
Updated:
Broker Parks Heard Brown Jr. recipient of multiple customer complaints
:
Updated:
Broker Silvano Rolando Trino Subject to Pending Customer Complaint
:
Updated:
Advisor James Vernon Regier Receives Customer Complaints Over Unsuitable Trades
:
Updated:
Broker Charles Wiggle Jr Receives Multiple Customer Complaints
:
Updated:
Broker Gerald O’Halloran Customer Complaints Alleging Securities Law Violations
:
Updated:
Broker Christopher Paul Anthony Subject To Multiple Customer Complaints
:
Updated:
Broker Investigation: Customer Complaints Against Scott Palmer
:
Updated:
Advisor Robert Estevez Subject to Multiple Regulatory Actions
:
Updated:
Michael Spears Subject to Claims Over Non-Traded REITs
:
Updated:
Advisor Linda Dowd Sanctioned By FINRA Over Forged Documents
:
Updated:
Advisor Jed Tinder Subject to Multiple Customer Complaints
:
Updated:
Broker Daniel Kiefer Subject to Multiple Customer Complaints
:
Updated:
Broker Investigation: Claims Against Advisor Brett Murphy
:
Updated:
Morgan Stanley Advisor Albert Dishner Subject to Customer Complaints
:
Updated:
FINRA Bars Broker Dominic DeBruin Over Private Securities Activity
:
Updated:
FINRA Accuses Advisor Dawn Bennett of Wrongfully Selling Promissory Notes
:
Updated:
FINRA Bars Michael Siegel For Failing to Cooperate with Regulatory Investigation
:
Updated:
Former Morgan Stanley Broker Wendy Feldman Discharged Over Unauthorized Trading
:
Updated:
FINRA Opens Investigation Into Mark Schklar Over Private Securities Sales
:
Updated:
Former UBS Broker David Fagenson Discharged Over Unauthorized Trading
:
Updated:
Broker Investigation: National Securities Advisor Christopher Bond
:
Updated:
Broker Investigation: National Securities Advisor Mark Gassoso
:
Updated:
Broker Barry Rumpel Terminated By Woodbury Financial Over Private Transaction
:
Updated:
Broker Samuel Koltun Accused of Selling Unsuitable Puerto Rico Bonds
:
Updated:
FINRA Bars Joseph Likens Over Private Securities Sales
:
Updated:
Broker Bryon Glime Barred From Financial Industry
:
Updated:
FINRA Bars Broker Brian Sak Over Private Securities Sales
:
Updated:
Broker Charles Sorensen Receives Customer Complaints Over Unsuitable Trades
:
Updated:
NetWork 1 Financial Securities Broker Mark Miranda Subject to Multiple Churning Complaints
:
Updated:
Wunderlich Securities Broker Howard Brous Has 14 Regulatory Sanctions
:
Updated:
Brian Egan Barred By FINRA for Trading in Accounts Away From His Firm
:
Updated:
Douglas Studer Barred By FINRA Over His Business Practices
:
Updated:
FINRA Bars Perry De Leeuw Over Private Securities Sales
:
Updated:
FINRA Sanctions Adam Estes Over Private Securities Sales in Various Companies
:
Updated:
FINRA Accuses Neal Moon and Natalie Fogiel Of Selling Private Securities
:
Updated:
Dominic Tropiano Accused of Selling Unsuitable Leveraged ETFs
:
Updated:
Centaurus Broker Donnie Ingram Has Complaints Over REIT and Alternative Investments
:
Updated:
Jon Schmidhammer Barred by FINRA Over Allegations of Misappropriation of Funds
:
Updated:
Centaurus Broker Bryon Martinsen Subject to Multiple Complaints Over Alternative Investments
:
Updated:
Ken Balser Barred by FINRA Over Allegations of Private Securities Transactions
:
Updated:
Tye Williams Barred by FINRA Over Allegations of Converting Customer Funds
:
Updated:
Gana LLP Files Complaint on behalf of Client Defrauded by Dean Mustaphalli
:
Updated:
Financial Advisor Cary Kievman Subject to Multiple Customer Complaints
:
Updated:
Broker Ralph Fetrow Discharged Over Allegations of Outside Business Activities
:
Updated:
New York Times Investigates Broker Walter Marino’s Annuity Sales
:
Updated:
Financial Advisor Guy Deemer Subject to Multiple Regulatory Actions
:
Updated:
TradingBlock Financial Advisor Joshua Arnold Subject to Multiple Customer Complaints
:
Updated:
Financial Advisor John Crook Subject to a $4.8 Million Customer Complaint
:
Updated:
Broker Investigation: Victor Lambert
:
Updated:
Broker Raymond Harrison Has Complaints Over Non-Traded REITs
:
Updated:
Customers Complain About Broker Joseph Zastrow’s Annuity Practices
:
Updated:
Oil Linked Investments Loss Recovery – iPath S&P GSCI Crude Oil Total Return Index ETN (OIL) and VelocityShares 3x Long Crude Oil ETN (UWTI)
:
Updated:
Massachusetts Files Complaint Against Morgan Stanley Alleging Unfair Sales Contests to Sell Securities Backed Loans
:
Updated:
Customers File Complaints Against Kenneth Saunders Over Alternative Investments
:
Updated:
Centaurus Financial Broker David White Has Complaints Over Alternative Investments
:
Updated:
Broker Investigation: Independent Financial Group Supervisor Michael DiGaetano
:
Updated:
Customers Complain About Broker Alan Thomilson’s Annuity Practices
:
Updated:
Arkansas Sanctions Financial Advisors Raymond Adcock and Charles Ferrill Over Talon Securities Sales
:
Updated:
Broker Investigation: Network 1 Financial Securities Advisor David Lerner
:
Updated:
Financial Advisor Joseph Thurnherr Subject to Multiple Customer Complaints
:
Updated:
SEC Charges Peter Kohli With Fraud in the Sale of DMS Funds
:
Updated:
Broker John Cangialosi Sanctioned by Multiple Regulators
:
Updated:
Broker Investigation: Customer Complaints Against Advisor Christian Herrera
:
Updated:
Brokerage Firms Sanctioned $6.2 Million Over Sale of L-Share Variable Annuities
:
Updated:
FINRA Sanctions Financial Advisor Michael Barranco Over Private Securities Transactions
:
Updated:
Raymond James and Broker Joel Burstein Accused of Aiding $350 Million Fraud
:
Updated:
Mark Wesley Terminated by Ameriprise After Unauthorized Trading in Customer Accounts
:
Updated:
Leonard Fox Barred Over Borrowing Customer Funds
:
Updated:
Kevin Kuhlow Barred Over Private Securities Transactions
:
Updated:
Paul Mata Accused of Engaging in a $14 Million Investment Fraud Scheme through Secured Capital Investments
:
Updated:
The Dangers of Investing in Structured CDs
:
Updated:
Customers File Complaints Against William Byrd Over Unsuitable Investments
:
Updated:
Morgan Stanley Terminates Broker Jamie Aguilar Over Private Securities Transactions
:
Updated:
Broker Investigation: Complaints Against Caeron McClintock
:
Updated:
Customers File Complaints Against Charles Obryant Over Unsuitable Investments
:
Updated:
FINRA Sanctions Broker Darrin Farrow Over Private Securities Transactions
:
Updated:
Gana LLP Investigation: APX Energy Oil and Gas Private Placements
:
Updated:
Ameriprise Financial Advisor Kim Isaacson Subject to Fraud Complaints
:
Updated:
Financial Advisor Rabinder “Ravi” Deshmukh Has Customer Complaints
:
Updated:
Customers File Complaints Against Allegis Investment Advisors Concerning Unsuitable Trading
:
Updated:
Woodbury Financial Terminates Broker David Ross Over Private Securities Transactions
:
Updated:
Broker Investigation: Advisor Bassam Salem
:
Updated:
Morgan Stanley Terminates Broker Brian Sak Over Outside Business Activities
:
Updated:
Morgan Stanley Terminates Broker Robert Beck Over Outside Business Activities
:
Updated:
Customers Files Complaints Against Wells Fargo Broker Thomas Braley
:
Updated:
ICON Equipment Leasing Sanctioned By SEC Over False Valuations
:
Updated:
Gana LLP Investigates Platinum Partner LP Hedge Funds Investor Losses
:
Updated:
Gana LLP Files Complaint on Behalf of Investor Alleging Breach of Fiduciary Duty in the Sale of Merrill Lynch MLCXX6LSER Commodity Index Fund
:
Updated:
FINRA Sanctions Financial Advisor Zahir Walji Over Private Securities Transactions
:
Updated:
FINRA Bars Financial Advisor Douglas Simanski Over Converting Client Funds
:
Updated:
FINRA Bars Scott Muirhead Over Private Security Transaction Investigation
:
Updated:
VFG Securities Broker Mark Trewitt Subject to Customer Complaints Over Non-Traded REITs and Private Placements
:
Updated:
Broker Christopher Cowans Subject to Multiple Churning Complaints
:
Updated:
Woodstock Financial Group Broker John Tinnelly Subject to Churning Complaints
:
Updated:
Broker Steven Shmulewitz Subject to Customer Churning Complaints
:
Updated:
Broker Craig Hayward Subject to Customer Complaints Over Non-Traded REITs and Alternative Investments
:
Updated:
Worden Capital Broker Sean McCabe Subject to Churning Complaints
:
Updated:
Broker Larry Wolfe Discharged By Herbert J. Sims Over Unauthorized Trading
:
Updated:
Former H. Beck Broker Richard Poston Under FINRA Investigation Over Sales Practices
:
Updated:
Broker Spotlight: Customers File Complaints Against Aegis Capital Broker Nicholas Tsikitas
:
Updated:
James Noto’s Variable Annuity Sales Practices Lead to Customer Disputes
:
Updated:
Investors File Unsuitable Gold and Commodities Related Investment Complaints Against Advisor Bradley Ross
:
Updated:
FINRA Bars Thomas Stamborski Over Outside Business Activity Disclosures
:
Updated:
FINRA Bars Lizabeth Yy Over Investigation Into Promissory Note Sales to Customers
:
Updated:
Department of Justice Alleges that Corrupt Brokers Richard Brown, Gerry Cocuzzo, Nick Khan, Maroof Miyana, and Pranav Patel Were Involved in A $131 Million Stock Promotion Scheme Involving ForceField Energy
:
Updated:
The Difference Between Arbitration and Mediation in a Divorce
:
Updated:
Customers File Complaints Against Meyers Associates Broker Matthew Silato
:
Updated:
Broker Investigation: Meyers Associates Advisor Craig Langweiler
:
Updated:
Broker Investigation: Meyers Associates Advisor Neal Scott
:
Updated:
Investor Recovery Options for Merrill Lynch Strategic Return Notes
:
Updated:
Gana LLP Files Complaint Against Newbridge Securities Concerning Broker Dennis Hayes’ USA Gold Sales
:
Updated:
FINRA Bars Broker Thomas Schober Over Variable Annuity Practices
:
Updated:
Broker Investigation: Churning Complaints Against Cory Bataan
:
Updated:
Customers File Complaints Against Mitchell Foote Involving REITs and Annuities
:
Updated:
FINRA Bars Brian Smit Over Private Securities Transactions
:
Updated:
Gana LLP Wins Arbitration Award On Behalf of Client Against Centaurus Financial
:
Updated:
Invest in High Risk Contingent Convertible (CoCo) Bonds?
:
Updated:
FINRA Bars Christopher Tolmacs Over Borrowing Client Funds
:
Updated:
Customers File Complaints Against Bruce Slater Involving REITs, Oil and Gas, and Variable Annuities
:
Updated:
Broker Investigation: Churning Complaints Against Broker Nathaniel Clay
:
Updated:
FINRA Sanctions Broker Peyton Jackson Over Outside Business Activities
:
Updated:
Customers File Complaints Against Barry Jin Over Unauthorized Trades
:
Updated:
Gana LLP Files Claim On Behalf of Vertical Recovery Fund Investor
:
Updated:
Customers Files Churning Complaints Against Broker James Flower
:
Updated:
Customer Complaints Involving Alternative Investments Against Broker Robert Cannon
:
Updated:
FINRA Bars Christopher Burtraw Over Borrowing Client Funds
:
Updated:
Customers File Complaints Against Broker Charles Correal Over Unsuitable Oil and Gas Investments
:
Updated:
Customers File Complaints Against VSR Financial Broker Robert Wamhoff
:
Updated:
Customers File Complaints Against VSR Financial Broker Dennis Van Patter
:
Updated:
Customers File Complaints Against Woodbury Financial Broker Daniel Dunn
:
Updated:
Gana LLP Investigates Customer Complaints Against Merrill Lynch Broker Jacquin Fink
:
Updated:
Gana LLP Investigates Investor Losses in Valeant Pharmaceuticals
:
Updated:
Gana LLP Investigates Customer Complaints Against H. Beck Broker Scott Goldman
:
Updated:
Morgan Stanley Broker Edward Barger has Four Customer Complaints
:
Updated:
Broker Investigation: John McGinnis Promissory Notes and Private Placement Investments
:
Updated:
Gana LLP Investigates Regulatory and Customer Complaints Against Broker James Ignatowich
:
Updated:
Customers File Numerous Complaints Against Broker Marc Jaffe
:
Updated:
Former RBC Broker Lisa Lowi Has Over a Dozen Energy Bond Related Customer Complaints
:
Updated:
Broker Investigation: Allegations that David Ferland Solicited Private Loans From Customers
:
Updated:
FINRA Bars Former National Securities Corporation Broker John Labarca
:
Updated:
Customer Complaints Against Financial Advisor Michael Stern
:
Updated:
Broker Spotlight: National Securities Corporation Broker Daniel Alcide
:
Updated:
Customer Complaint Against National Securities Corporation Broker Jason Wilk
:
Updated:
Investment Advisor Spotlight: Suitability Complaints Against Matthew Turner
:
Updated:
Customers File Suitability Complaints Against Merrill Lynch Advisor Lisa Wolf
:
Updated:
Broker Investigation: Customer Complaints Against Zak Shapiro
:
Updated:
Financial Advisor Roman Reed Discharged From Merrill Lynch Over Customer Complaint
:
Updated:
Wells Fargo Broker Charles Frieda Energy Stock Investor Claims
:
Updated:
Customers Files Churning Complaints Against Broker John Prinzivalli
:
Updated:
Broker Investigations: Complaints Against Legend Securities Broker Michael Androulakis
:
Updated:
Broker Investigations: Complaints Against Aegis Capital Broker Shadi “Sean” Barakat
:
Updated:
Investors File Excessive Trading Complaints Against Legend Securities Broker Bernardo Misseri
:
Updated:
Broker Investigation: Customer Complaints Against Advisor William Baumner
:
Updated:
Investors File Excessive Trading Complaints Against Broker James Hayne
:
Updated:
Investors File Unauthorized Trading Complaints Against Broker Lance Shaw
:
Updated:
Customers File Complaint Against Broker Charles Geraci Over Alternative Investment Recommendations
:
Updated:
Broker Investigation: VSR Financial Broker Timothy Hobbs
:
Updated:
Broker Investigation: Ameriprise Financial Broker William Utanski
:
Updated:
Broker Investigation: VSR Financial Broker Robert Hardcastle
:
Updated:
FINRA Bars Broker Wayne Schultz Over Private Securities Transactions
:
Updated:
Securities Investigation: Broker Gregg Templeton
:
Updated:
FINRA Bars Broker Robert Cross Over Private Securities Transactions
:
Updated:
Waveland Oil and Gas Private Placements Loss Recovery
:
Updated:
Broker Investigation: Customer Complaints Against VSR Financial Broker Mickey Long
:
Updated:
Broker Investigation: Customer Complaints Against VSR Financial Broker Jesse Griffin
:
Updated:
Broker Investigation: Customer Files Churning Complaint Against Broker Bruce Stark
:
Updated:
Mewbourne Oil Company Oil and Gas Private Placements
:
Updated:
Vertical Funds Private Placements
:
Updated:
Ridgewood Energy Oil and Gas Private Placements
:
Updated:
Investors File Churning Complaints Against Broker Joel Benanti
:
Updated:
SEC Accuses American Growth Funding II and Brokerage Firm Portfolio Advisors Alliance of Securities Fraud
:
Updated:
Credit Suisse X-Links and Velocity Shares ETN Investor Recovery Options
:
Updated:
SandRidge Permian Trust (PER) Mississippian Trust I (SDT) and II (SDR) Investor Loss Recovery
:
Updated:
Broker Investigation: Gerald “Jerry” Tagge Promissory Note Sales
:
Updated:
Bradford Energy Capital Oil and Gas Private Placements
:
Updated:
Andrew Yocum Customers Complaint About Unsuitable Oil and Gas Investments
:
Updated:
Recovery Options for VFG Securities Clients Invested in Non-Traded REITs, Equipment Leasing, Oil & Gas, and Other Alternative Investments
:
Updated:
FINRA Sanctions Ameriprise Financial Broker William Marshall and Supervisor John J. Kolinofsky, Jr. Over BioChemics Stock Sales
:
Updated:
Aequitas Funds Ponzi-Scheme Recovery Options
:
Updated:
Pengrowth Energy Corporation (PGH) Investor Loss Recovery
:
Updated:
FINRA Bars Raymond James Broker Jeffrey Ingros Over Outside Business Activities
:
Updated:
Baytex Energy Corp. (BTE) Investor Loss Recovery
:
Updated:
Hugoton Royalty Trust (HGT) Investor Loss Recovery
:
Updated:
FINRA Investigates Broker Bahram Mirhashemi for Unauthorized Trades and Churning
:
Updated:
Broker Investigation: Customer Complaints Against Michael McMahon
:
Updated:
Gana LLP Files Complaint on Behalf of Investor Alleging Breach of Fiduciary Duty in the Sale of MLPs Against Wells Fargo
:
Updated:
Broker Investigation: George Merhoff Unsuitable Oil and Gas Investments
:
Updated:
Broker Investigation: William Berg Unsuitable Oil and Gas Investments
:
Updated:
Pacific Coast Oil Trust (ROYT) Investor Loss Recovery
:
Updated:
Whiting USA Trust II (WHZ) Investor Loss Recovery
:
Updated:
FINRA Sanctions Broker Kevin Murphy Over Selling Away Allegations
:
Updated:
FINRA Files Complaint Against Ricky Moore Over Church Bonds Selling Away Allegations
:
Updated:
FINRA Sanctions Broker James Nixon Over Promissory Note Sales
:
Updated:
FINRA Sanctions Broker Carlos Benavidez Jr Over Unauthorized Trades in 80 Customer Accounts
:
Updated:
EnLink Midstream Partners, LP (ENLK) Investor Recovery Options
:
Updated:
Mesabi Trust (MSB) Investor Loss Recovery
:
Updated:
Broker Investigation: Customer Complaints Against Advisor Paul Blum
:
Updated:
Gana LLP Investigates Raymond James Oil and Gas MLP Recommendations to Clients
:
Updated:
Investors Risk Big Losses with Loans Secured by Securities Collateral Accounts
:
Updated:
Sunoco Logistics Partners L.P. (SXL) Investor Recovery Options
:
Updated:
Merrill Lynch Terminates Broker Patrick Sands on Selling Away Allegations
:
Updated:
ONEOK Partners, L.P. (OKS) Investor Recovery Options
:
Updated:
Plains All American Pipeline (PAA) Investor Recovery Options
:
Updated:
FINRA Sanctions Finance 500 Over Penny Stock Sales Practices
:
Updated:
FINRA Bars Broker Eugene Smietana For Failing to Respond to Investigation Requests
:
Updated:
NuStar Energy L.P. (NS) Investor Recovery Options
:
Updated:
Broker Investigation: Customer Complaints Against Allan Montalbano
:
Updated:
Broker Spotlight: Centaurus Financial Advisor Marcious Dickerson
:
Updated:
Targa Resources Partners (NGLS) Loss Recovery Options
:
Updated:
FINRA Alleges Caldwell International Securities Engaged In Systematic Churning
:
Updated:
Arch Coal Investor Recovery Options
:
Updated:
John Randall “JR” Gladden Accused of Selling Church Fund Loans Away from Brokerage Firm
:
Updated:
Broker Investigation: Excessive Trading Claims Against Broker John Fenimore
:
Updated:
Linn Energy (LINE) and LinnCo (LNCO) on the Verge of Bankruptcy
:
Updated:
Broker Investigation: UBS Financial Broker William Carlton
:
Updated:
Mutual Fund Duff & Phelps Select Energy MLP (DSE) Investor Recovery Options
:
Updated:
Broker Investigation: National Securities Advisor Kyle Harrington
:
Updated:
Mutual Fund Goldman Sachs MLP and Energy Renaissance Fund (GER) Investor Recovery Options
:
Updated:
Advisor Kevin Wanner Accused of Selling Fraudulent Securities
:
Updated:
Mutual Fund First Trust MLP and Energy (FEI) Investor Recovery Options
:
Updated:
Mutual Fund Neuberger Berman MLP Income Fund (NML) Investor Recovery Options
:
Updated:
Customers Bring Complaints Against Thomas Andrews Over Misappropriation of Funds
:
Updated:
FINRA Investigates Customer Complaints Against Broker Eric Kuchel
:
Updated:
Mutual Fund Clearbridge Energy Fund (CEM) Investor Recovery Options
:
Updated:
Mutual Fund Kayne Anderson MLP Investor Recovery Options (KYN)
:
Updated:
Investors File Non-Traded REIT Complaints Against Broker Nancy Daoud
:
Updated:
Investor Recovery Options for Energy & Exploration Partners Losses
:
Updated:
Broker Investigation: Customer Complaints Against Broker Daniel McPherson
:
Updated:
FINRA Files Complaint Against Gopi Vungarala and Purshe Kaplan Sterling Over Fraudulent Commission Charges
:
Updated:
Investor Recovery Options for RAAM Global Energy Company Losses
:
Updated:
Broker Investigation: Customer Complaints Against Broker Stanley Keyes
:
Updated:
Investor Recovery Options for Energy Transfer Partners, L.P. (ETP) Losses
:
Updated:
Broker Investigation: Customer Complaints Against McNally Financial Broker Marshall Cassedy
:
Updated:
Investment Investigation: Sales of Adageo Energy Private Placements
:
Updated:
LPL Financial Broker Alfred Talens Accused of Selling Unregistered Securities
:
Updated:
FINRA Sanctions William Watson Over False and Misleading Marketing of Securities
:
Updated:
Investor Recovery Options for Goldman Sachs MLP and Energy Renaissance Fund (GER) Losses
:
Updated:
Investor Recovery Options for High Yield Fund Investors
:
Updated:
FINRA Bars Broker Ricardo Fancois During Investigation Into Sales Practices
:
Updated:
Investor Recovery Options for Milagro Oil & Gas Losses
:
Updated:
FINRA Bars Broker Honetta Kao During Investigation Into Sales Practices
:
Updated:
FINRA Bars Broker James Starks During Investigation Into Sales Practices
:
Updated:
Mutual Fund Tortoise Energy Infrastructure (TYG) Investor Recovery Options
:
Updated:
Investor Recovery Options for Swift Energy Co. Losses
:
Updated:
FINRA Bars Broker Marat (a/k/a Matt) Zeltser
:
Updated:
Broker Spotlight: Customer Complaints Against National Securities Corporation Broker James Eichner
:
Updated:
Broker Spotlight: Customer Complaints Against Independent Financial Broker Brian Zimmerman
:
Updated:
Odebrecht Offshore Drilling Finance Investor Recovery Options
:
Updated:
Pharmaceutical Company Zafgen (ZFGN) Investors Suffer Massive Losses After Key Drug Placed on Hold
:
Updated:
Broker Spotlight: Customer Complaints Against PHX Financial Broker Johnathan McHale
:
Updated:
Commodities Company Freeport-McMoran (FCX) Investors Suffer Massive Losses
:
Updated:
Broker Investigation: 13 Customer Complaints Against Aegis Capital Broker Keith Connolly
:
Updated:
Prospect Capital Highlights the Risks of Business Development Companies (BDCs)
:
Updated:
Voyager Financial Group, LLC Investor Recovery Options
:
Updated:
Spirit of America Energy Fund (SOAEX) Investor Recovery Options
:
Updated:
Recovery Options for United Development Funding Investors
:
Updated:
Preferred Stock Shareholders in RCS Capital Corporation Expected to be Wiped Out
:
Updated:
UBS Closes Two MLP ETNs – ETRACS 2x Monthly Leveraged S&P MLP Index (MLPV) and ETRACS 2x Monthly Leveraged Long Alerian MLP Infrastructure ETN (MLPL) After Massive Investor Losses
:
Updated:
Wells Fargo Financial Advisor Charles Lynch Accused of Unsuitable Energy Related Investments
:
Updated:
Broker Investigation: Churning Claims Against National Securities Corporation Broker Shaun Stein
:
Updated:
Broker Investigation: Churning Claims Against Broker Kerry Raheb (a/k/a Patrick Raheb)
:
Updated:
Broker Investigation: Churning Claims Against Aegis Broker Michael Venturino
:
Updated:
Broker Investigation: Churning Claims Against Aegis Broker Steven Luftschein
:
Updated:
Broker Spotlight: Customer Complaints Against Merrill Lynch Broker John Boukamp
:
Updated:
Broker Spotlight: Customer Complaints Against UBS Broker Michael Blueweiss
:
Updated:
Investor Recovery Options for NGL Energy Partners (NGL) Losses
:
Updated:
FINRA Sanctions The Investment Center Broker Leon Vaccarelli Over Unauthorized Trades
:
Updated:
Investor Recovery Options for Alliance Resource Partners (ARLP) Losses
:
Updated:
Morgan Stanley Broker Lance Slater Terminated After Allegations Of Personal Loans and Excessive Trading
:
Updated:
Investor Recovery Options for JP Energy Partners LP (JPEP) Losses
:
Updated:
Gana LLP Represents Victims of Edward Durante’s, Christopher Cervino’s, and Larry Werbel’s Alleged VGTel Scheme
:
Updated:
SEC Claims Advisory Firm Atlantic Asset Management Hid Conflicts of Interests From Clients
:
Updated:
Investor Recovery Options for Targa Resource Partners LP (NGLS) Losses
:
Updated:
Broker Harris Kirk Under FINRA Investigation
:
Updated:
Investor Recovery Options for Teekay LNG Partners (TGP) Losses
:
Updated:
Broker Garland Benton Terminated For Private Securities Transactions
:
Updated:
Investor Recovery Options for Rose Rock Midstream (RRMS) Losses
:
Updated:
Investor Recovery Options for Crestwood Equity Partners (CEQP) Losses
:
Updated:
Investor Recovery Options for Teekay Offshore Partners LP (TOO) Losses
:
Updated:
Investor Recovery Options for Legacy Reserves LP (LGCY) Losses
:
Updated:
Hercules Offshore Investor Recovery Options
:
Updated:
Investor Recovery Options for Navios Maritime Partners (NMM) Losses
:
Updated:
Samson Resources Investor Recovery Options
:
Updated:
Investor Recovery Options for Southcross Energy LP (SXE) Losses
:
Updated:
Franklin High Income Fund Investors May Have a Volatile Road Ahead
:
Updated:
Investor Recovery Options for Mid-Con Energy Partners (MCEP) Losses
:
Updated:
Broker Investigation: Advisor Dennis Riordan
:
Updated:
Investor Recovery Options for Vanguard Natural Resources LLC (VNR) Losses
:
Updated:
Investor Recovery Options for Memorial Production Partners (MEMP) Losses
:
Updated:
Gana LLP Investigation: Excessive Trading Complaints Against Broker James Bernthal
:
Updated:
Investor Recovery Options for Foresight Energy LP (FELP) Losses
:
Updated:
Investor Recovery Options for Natural Resource Partners (NRP) Losses
:
Updated:
Gana LLP Investigates Regulatory and Investor Complaints Against Broker Glenn King
:
Updated:
Investor Recovery Options for EV Energy Partners LP (EVEP) Losses
:
Updated:
Broker Investigation: Wells Fargo Advisor Robert Giusti
:
Updated:
Claren Road Asset Management LLC Fund Investor Recovery Options
:
Updated:
Stone Lion Capital Partners Investor Recovery Options
:
Updated:
Investor Recovery Options for LinnCO LLC (LNCO) Losses
:
Updated:
SEC Files Complaint Against Former Edward Jones Broker Bernard Parker For Stealing Client Funds
:
Updated:
Recovery Options For Investors of Zachary Bader’s Churning and Unsuitable VIX Trading
:
Updated:
Investor Recovery Options for Hi-Crush Partners (HCLP) Losses
:
Updated:
Investor Recovery Options for New Source Energy Partners (NSLP) Losses
:
Updated:
Investor Recovery Options for Emerge Energy LP (EMES) Losses
:
Updated:
Broker Investigation: TIC Complaints Against Sigma Financial Broker Tomas Velken
:
Updated:
Investor Recovery Options for Breitburn Energy LP (BBEP) Losses
:
Updated:
Recovery Options for Investors Caught in Christopher Brogdon’s Nursing Home Investment Scheme
:
Updated:
Recovery Options for Third Avenue Focused Credit Fund Investors
:
Updated:
Recovery Options for Investors in Samuel DelPresto Market Manipulation Fraud
:
Updated:
Constellation Wealth Advisors Terminates Brandon Gioffre After Customers Complain about TMG Energy Systems Investment
:
Updated:
Broker Investigation: H. Beck’s Advisor Michael Child
:
Updated:
Atlas Energy Group Investors May Have Suitability Claims to Recover Investment Losses
:
Updated:
Van Eck Intl Investors Gold Fund (INIVX) Investors Suffer Massive Losses
:
Updated:
Oil and Gas Private Placement Losses: Investigation of Reef Oil and Gas Companies
:
Updated:
Non-Traded Business Development Companies (BDCs) About to Get Even Riskier?
:
Updated:
FINRA Sanctions Morgan Stanley Broker Clarence Mark Tingle Over Unauthorized Trades
:
Updated:
Broker Investigation: VSR Financial Services Advisor Robert Bragg
:
Updated:
Broker Investigation: VSR Financial Services Advisor Robert Hinz
:
Updated:
Joseph Sturniolo Wipes Investor Complaints From Record Using FINRA’s Flawed Expungement Process
:
Updated:
FINRA Investigates NMS Capital Advisors Broker Sperry Younger
:
Updated:
Gana LLP Investigation: Customer Complaints Against Howard Slater
:
Updated:
Broker Investigation: Customer Complaints Against Jeremy Monte
:
Updated:
FINRA Sanctions Braymen, Lambert and Noel Securities and Shannon Braymen Over Private Placement Supervisory Failures
:
Updated:
SEC Sanctions Gary Arford Over Allegations of Securities Fraud and Misappropriation
:
Updated:
Broker Investigation: Customer Complaints Against Frank Marinelli
:
Updated:
FINRA Sanctions Joseph Daigneault Over False Account Statements
:
Updated:
FINRA Sanctions Daniel Barthole Over Attempt to Privately Settle a Customer Complaint
:
Updated:
FINRA Bars Broker Daniel Kasbar In Connection With Undisclosed Outside Business Activities
:
Updated:
FINRA Bars Broker Clifford Morgan In Connection With the Sale of Over Promissory Note Sales
:
Updated:
FINRA Sanctions David Khezri Over Unauthorized Trading
:
Updated:
Oil and Gas Bankruptcy List Expands Along with Investor Losses
:
Updated:
Broker Spotlight: Wells Fargo Advisor Evan Wuhl
:
Updated:
FINRA Bars Broker Jeffrey Snyder Over Failure to Respond to Regulator Requests
:
Updated:
Advisor John McKinstry Jr. Discharged After Customer Complaints
:
Updated:
Advisor Investigation: Morgan Stanley Broker Kirk Gill
:
Updated:
Broker Investigation: SagePoint Financial’s Scott Aabel
:
Updated:
Broker Investigation: Madison Avenue Securities’ Noel Vincent
:
Updated:
Financial Advisor Investigation: Ameriprise Financial Services’ Advisor Detlef Schoeppler
:
Updated:
Gana LLP Investigates Investor Losses Tied to Oil and Commodities Linked ETNs
:
Updated:
Broker Investigation: Oppenheimer Advisor Luigi Mancusi
:
Updated:
SEC Charges Arthur Jacob and Innovative Business Solutions LLC with Defrauding Investors
:
Updated:
Broker Investigation: Financial Advisor Mark Hughes
:
Updated:
Oil and Gas Investments – What Remedies Do Investors Have?
:
Updated:
Broker Spotlight: Customer Complaints Against Advisor Kenneth Bolton
:
Updated:
FINRA Bars Broker Tracy Wengert Over Trading Customer Accounts Outside His Brokerage Firm
:
Updated:
Broker Investigation: Laidlaw & Company Advisor Robert Yasnis
:
Updated:
Broker Investigation: Laidlaw & Company Advisor Joseph Fedorko
:
Updated:
Broker Investigation: Feltl & Company Advisor Timothy Wynne
:
Updated:
Gana LLP Investigates Investor Losses In Oil-Linked Structured Notes
:
Updated:
Broker Investigation: Oppenheimer Advisor Matthew Giannone
:
Updated:
Broker John Galinsky Suspended For Failing to Pay Arbitration Award
:
Updated:
Spruce Alpha Hedge Fund Investors Suffer Massive Losses
:
Updated:
SEC Brings Fraud Charges Against Broker Lee Weiss Over FEP Fund I and Catamaran Fund Investments
:
Updated:
Coal Investment Risk: Is this Industry Going Out of Business?
:
Updated:
Investigation: Dawson James Securities’ Great Basin Scientific Stock Underwriting
:
Updated:
FINRA Sanctions Broker Robert Gill Over Borrowing Customer Funds
:
Updated:
Broker Investigation: Churning Claims Against Broker Donald Fowler
:
Updated:
Source Capital Group Discharges Broker Robert Turpin Over Unauthorized Business Activities
:
Updated:
FINRA Approves Rule Designed to Protect Seniors From Financial Exploitation
:
Updated:
FINRA Bars Broker Ralph Savoie Over Misappropriation of Client Funds
:
Updated:
FINRA Bars Broker Jeffrey Mohlman Over Private Securities Transactions
:
Updated:
FINRA Sanctions Broker Garrett Ahrens Over False Account Statements
:
Updated:
Customers File Complaints Against Interactive Brokers for Flawed Margin Liquidations
:
Updated:
Broker Investigation: Ausdal Financial Broker Randy Birkinbine
:
Updated:
Oil and Gas Investors In Halcon Resources Suffer Major Losses
:
Updated:
Oil and Gas Investment Goodrich Petroleum Corp. Losses Exceed 90% In Last Year
:
Updated:
Magnum Hunter Resources Investors Lose 90% in Last Year
:
Updated:
Broker Investigation: Financial Advisor Salvatore Pizzimenti
:
Updated:
Broker Investigation: Aegis Capital Financial Advisor Michael McDonald
:
Updated:
Broker Investigation: Claims Against Broker John Stapleton
:
Updated:
Broker Investigation: Claims Against Broker Glen Delaney
:
Updated:
Broker Spotlight: Claims Against Broker John Lopinto
:
Updated:
Regulators Sanction Broker Edward Segur Over False Statements
:
Updated:
FINRA Investigates Broker Craig Taddonio Over Supervision and Churning
:
Updated:
FINRA Investigates Broker Brent Porges Over Supervision and Churning
:
Updated:
FINRA Bars Broker Robert Potter Over Failure to Respond to Regulatory Requests Concerning Comingled Funds
:
Updated:
Customers File Complaints Against Eric Wegner Over Tenants-in-Common (TIC) Real Estate Investments
:
Updated:
FINRA Suspends Broker Lucian Hodgman Over Misleading Advertising and Dishonest Statements
:
Updated:
Broker Investigation: Robert Horning’s Sale of Tenants-in-Common (TIC) Real Estate Investments
:
Updated:
Former B.B. Graham & Company Broker Russell Macke Barred For Failing to Respond to Regulator Requests
:
Updated:
Broker Investigation: St. Bernard Financial Broker Joseph Miles
:
Updated:
Broker Spotlight: Financial Advisor Stephen Kipp
:
Updated:
Broker Investigation: Aegis Capital Financial Advisor Edward Jeffery
:
Updated:
Broker Investigation: Aegis Capital Financial Advisor Louis Baudendistel
:
Updated:
Customers File Dozens of Complaints Against Broker John Schooler
:
Updated:
Customers File Claims Against RBC Capital Markets Broker Jeffrey Fladell
:
Updated:
Gana LLP Investigation: Broker Robert Marks
:
Updated:
Broker Spotlight: Morgan Stanley Broker Hilary Zimmerman
:
Updated:
Customers File Churning Complaints Against Legend Securities Broker Daren Dorval
:
Updated:
FINRA Files Complaint Against Former Woodstock Financial Group Broker David Wolk
:
Updated:
Customers File Dozens of Complaints Against Former Oppenheimer Broker Bennett Broad
:
Updated:
Broker Spotlight: Ameriprise Financial Broker Michael Lipscomb
:
Updated:
Customers File Complaints Against Francis Velten Over Variable Annuity Practices
:
Updated:
Hedge Fund Canarsie Capital Losses 99.7% of Client’s Money Leading to SEC Investigation
:
Updated:
SEC Accuses Dawn Bennett of Misleading Investors On Her Radio Program
:
Updated:
Customers File Claims Against Broker David Page
:
Updated:
FINRA Suspends Former LPL Financial Broker Walter Chao Over Private Securities Transactions
:
Updated:
Former National Securities Corporation Broker Brian Folland Subject to Numerous Customers Complaints
:
Updated:
Customers File Complaints Against Former National Securities Corporation Broker William Gillis
:
Updated:
FINRA Sanctions John Jones Over Unsuitable Investments
:
Updated:
Gana LLP Files $3.7 Million FINRA Arbitration Complaint on Behalf of Investors In Connection with Paul Godlewski’s Investment Scheme
:
Updated:
Customers File Churning Complaints Against National Securities Corporation Broker Todd Henrich
:
Updated:
FINRA Sanctions Donald Levin Over Unsuitable Mutual Fund Switching
:
Updated:
FINRA Sanctions Ronald Benevento Over Unsuitable Mutual Fund Switching
:
Updated:
Customers File Complaints Against Advisor Newbridge Securities Broker Anil Jethmal
:
Updated:
Florida Office of Financial Regulation Sanctions JP Turner Over Broker John McGriskin’s Churning Activity
:
Updated:
FINRA Files Churning Complaint Against Leonard Goldberg
:
Updated:
FINRA Bars Former NYLife Broker Jonathan Williams Over Outside Business Activities
:
Updated:
FINRA Bars Former Merrill Lynch Broker Michael Highfill Over Outside Business Activities
:
Updated:
FINRA Bars Richard Adams Over Churning Customer Accounts
:
Updated:
Broker Spotlight: JP Morgan’s John Cholankeril Jr.
:
Updated:
FINRA Sanctions Broker Gregory Gassoso Over Unauthorized Trades
:
Updated:
Churning Claims Against Rockwell Global Broker Michael Capolongo
:
Updated:
Broker Investigation: Churning Claims Against Broker Ahmad “Kevin” Wares
:
Updated:
FINRA Bars Former PFS Investments Broker Malcolm Babin From the Industry
:
Updated:
Broker Spotlight: Cantone Research’s Raymond DeRobbio
:
Updated:
Cape Securities, Inc. Fined $125,000 for Failure to Supervise
:
Updated:
Broker Spotlight: Advisor Robert Batchen Unauthorized Trading Claims
:
Updated:
FINRA Sanctions Broker James Madden Over Unauthorized Trades
:
Updated:
BestVest Investments Sanctioned Over Non-Traditional ETF Sales
:
Updated:
FINRA Bars Former Stifel, Nicolaus Broker Kenneth Hornyak Over Short Term Trading
:
Updated:
FINRA Sanctions Rainmaker Securities Over Numerous Violations Involving Private Placements
:
Updated:
FINRA Bars Thomas Hogle Over Investigation Into Unsuitable Trades in a 101 Year Old’s Account
:
Updated:
Customers Files Churning Complaints Against Patrick Teutonico
:
Updated:
Broker Spotlight: Claims Against Former AXA Advisors Broker Dennis Lee
:
Updated:
Broker Spotlight: Customer Complaints Against Francine Frechter
:
Updated:
FINRA Bars Former Cetera Advisors Broker Bruce Sabourin
:
Updated:
SEC Brings Action Against Miller Energy Resources on the Heals of Bankruptcy
:
Updated:
Gana LLP Investigates Investor Losses in Linn Energy and Energy XXI
:
Updated:
Broker Investigation: NFP Advisor Services Broker Kevin Ellman
:
Updated:
FINRA Bars Former LPL Financial Broker Thomas Caniford From the Industry
:
Updated:
FINRA Sanctions Five Brokers Affiliated with HFP Capital Markets
:
Updated:
FINRA Arbitration Panel Finds UBS Puerto Rico Liable for $1 Million as a Result of the Sale of UBS Puerto Rico Bond Funds
:
Updated:
Customers File Complaints Against National Securities Corporation Broker Michael Fasciglione
:
Updated:
FINRA Bars Merrill Lynch Broker Kai Cheng Over Unauthorized Trading Investigation
:
Updated:
FINRA Sanctions Tyler Powell Over Unauthorized Trades
:
Updated:
Broker Investigation: Aegis Capital Advisor Damian Mamane
:
Updated:
Former Wunderlich Securities Broker Merid Amde Charged with Violation of FINRA Rules
:
Updated:
Massachusetts Files Complaints Against Securities American and Its Broker Barry Armstrong
:
Updated:
Customers File Complaints Against National Securities Corporation Broker Leonard McAbee
:
Updated:
Broker Spotlight: TIC Customer Complaints Against John Notman
:
Updated:
Broker Investigation: Customer Complaints Against RBC Capital Broker David Peirce
:
Updated:
Broker Spotlight: TIC Customer Complaints Against Mark Kosanke
:
Updated:
Broker Spotlight: TIC Customer Complaints Against Robert “Rusty” Tweed
:
Updated:
FINRA Sanctions Sylvester King Jr. Over Improper Loans and Private Securities Transactions
:
Updated:
FINRA Sanctions E1 Asset Management, Ron Itin, and Ahsan Shaikh Over Churning Customer Accounts
:
Updated:
Gana LLP Investigation: Complaints Against Coastal Equities Broker Douglas Bevers
:
Updated:
Voya Financial Advisors to Stop Selling L Share Annuities Over Suitability Concerns
:
Updated:
Broker Investigation: Churning Claims Against Mark Kaplan
:
Updated:
FINRA Bars Former H.D. Vest Broker Richard Whitley
:
Updated:
Broker Spotlight: Citigroup Broker David Honingstock
:
Updated:
Numerous Customer Complaints Against Former Berthel Fisher Broker Jerry McCutchen
:
Updated:
FINRA Bars Former Morgan Stanley Advisor Justin Amaral
:
Updated:
SEC Charged 36 Brokerage Firms Over Municipal Bond Offerings
:
Updated:
FINRA Suspends Broker David Ledoux Over Failure to Disclose Certain Liens
:
Updated:
Julius Kenney Formerly of LPL Financial Barred Over Outside Business Activities Investigation
:
Updated:
Controversy Over Non-Traded REITs: Should These Products Be Sold to Investors? Part II
:
Updated:
FINRA Bars Former Securities America Broker Judith Woodhouse
:
Updated:
Controversy Over Non-Traded REITs: Should These Products Be Sold to Investors? Part I
:
Updated:
FINRA Sanctions Morgan Stanley and Scottrade for Failing to Supervise Customer Transfers to Third-Party Accounts
:
Updated:
FINRA Bars Advisor James Ham Over Outside Business Activities
:
Updated:
Cushing Mutual Funds Investor Update
:
Updated:
Numerous Customer Complaints Against Herbert J. Sims Broker Robert Delguercio
:
Updated:
Gana LLP Investigation: Broker Duane Smith
:
Updated:
Gana LLP Investigation: Claims Against Broker George Lincoln
:
Updated:
Broker Spotlight: Churning Claims Against Advisor Jason Klabal
:
Updated:
JP Turner Broker Homer Vining Suspended for Failing to Comply with an Arbitration Award
:
Updated:
Broker Spotlight: Alexander Capital Broker Anthony Pace
:
Updated:
Thomas Buck Barred From the Securities Industry Over Unfair Commission Practices
:
Updated:
Gana LLP Investigation: Broker James Connors
:
Updated:
Broker Spotlight: Broker Clarence Patton Jr
:
Updated:
Gana LLP Investigation: Legend Securities Broker Peter Girgis
:
Updated:
New York Attorney General Arrests Advisor Frederick Monroe On Charges of Running a Ponzi Scheme
:
Updated:
Broker Spotlight: Broker Christopher Orlando
:
Updated:
Update On Broker Thomas Buck Investigation
:
Updated:
Think Twice Before Investing in Equity Indexed Annuities
:
Updated:
Former Morgan Stanley Broker Debra Lyman Sanctioned Over Unauthorized Trading
:
Updated:
Gregory Bray and Matt Maberry Under Investigation By FINRA For Unsuitable Security Sales
:
Updated:
Gana LLP Investigates Investor Losses In Star Scientific / Rock Creek Pharmaceuticals (RCPI)
:
Updated:
David Chu Formerly of NYLife Securities Barred Over Private Transactions Investigation
:
Updated:
Broker Spotlight: Nigel James Churning Claims
:
Updated:
Broker Investigation: Fera Shivaee’s Sale of Tenants-in-Common (TIC) Real Estate Investments
:
Updated:
Cabot Investment Properties Principals Carlton Cabot and Timothy Kroll Arrested in $17 Million Fraud
:
Updated:
FINRA Files Complaint Against ARI Financial Services and William Candler Concerning Bridgeport Oaks Fund
:
Updated:
Broker Leonard Tanner Suspended By FINRA Over Unauthorized Trading
:
Updated:
Gana LLP Investigation: George Montgomery’s Sales of Twin Peak Investment
:
Updated:
Broker Investigation: Robert Blake’s Sale of Tenants-in-Common (TIC) Real Estate Investments
:
Updated:
Broker Dealer Financial Services Corp. Sanctioned Over Non-Traditional ETF Practices
:
Updated:
Larry M. Phillips of The Phillips Group, Sanctioned For Overcharging Customers
:
Updated:
SEC Charges Advisor Patrick Churchville with $11 Million Fraudulent Investment Scheme
:
Updated:
Broker Lawrence LaBine Accused of Selling Unsuitable Alternative Investments
:
Updated:
Gana LLP Investigates Investor Losses in Patriot Coal Corp (PCX)
:
Updated:
Broker Investigation: Advisor Mark Gardner
:
Updated:
Gana LLP Investigates Investor Losses in American Eagle Energy Corp. (AMZG)
:
Updated:
Why Professional Athletes are Common Victims of Investment Fraud
:
Updated:
Broker Investigation: Kenneth McDonald’s Sale of Tenants-in-Common (TIC) Real Estate Investments
:
Updated:
Former Merrill Lynch Advisor Roderick Yzaguirre Accused of Stealing Millions From Clients
:
Updated:
Broker Spotlight: Ellwood Jones’ Investment Recommendations
:
Updated:
Michael Bell Suspended Over Misleading Private Placement Emails
:
Updated:
Former LPL Financial Broker Robert Tricarico Accused of Stealing Customer Funds
:
Updated:
Former Wells Fargo Broker Douglas Melzer Barred Over Private Securities Transactions
:
Updated:
Senior Abuse in the Securities Industry A Major Ongoing Concern
:
Updated:
LPL Financial Broker David Hackney Accused by Regulator of Churning Customer Accounts
:
Updated:
JHS Capital Advisors Broker Mark Weindling Barred Over Forging Signatures in Deceased Customer’s Account
:
Updated:
FINRA Alleges National Securities Corporation Misled Customers On Fees
:
Updated:
Broker Michael Gates Alleged to Have Made Unauthorized Trades in Client Accounts
:
Updated:
FINRA Fines RBC $1.4 Million Over Unsuitable Reverse Convertibles
:
Updated:
First Allied Securities Broker Daniel Grieco Sanctioned Over Non-Traditional ETF Sales
:
Updated:
LPL Financial Fined $11.7 Million Over Securities Practices
:
Updated:
Broker Adamson Wright Alleged to Mismarked Options Trades
:
Updated:
The Worst Performing Funds of Q1 2015
:
Updated:
Global Arena Capital Broker Nick Morrisey Suspended By FINRA
:
Updated:
Morgan Stanley and Broker Ami Forte Subject to $400 Million Investor Complaint
:
Updated:
Regulators File Complaints Against Christopher Veale Concerning His Securities Practices
:
Updated:
SEC Complaint Alleges Veros Partners, Matthew Haab Jeffery Risinger, and Tobin Senefeld Engaged in a Farm Loan Ponzi Scheme
:
Updated:
Broker Complaint Investigation: David Persaud’s Sales Practices
:
Updated:
Broker Investigation: Patrick McGrath Former Oppenheimer & Co. Advisor
:
Updated:
OneAmerica Securities Sanctioned By FINRA Over Failure to Supervise
:
Updated:
Wells Fargo Broker Aaron Parthemer Barred Over Private Securities Sales
:
Updated:
Gana LLP Investigates Investor Losses in BPZ Energy
:
Updated:
SEC Warns That Retail Investors May Not Understand the Risks of Complex Investments
:
Updated:
Gana LLP Now Representing Investors That Suffered Losses in Quicksilver Resources
:
Updated:
Broker John Miller Suspended By FINRA Over Unauthorized Trading
:
Updated:
Has Your Financial Advisor Overconcentrated Your Investments In Oil & Gas?
:
Updated:
Why the Investing Public Falsely Believes Advisors Are Fiduciaries
:
Updated:
H. Beck, LaSalle, and J.P. Turner Sanctioned for Inadequate Supervision of Consolidated Reports
:
Updated:
James Neilsen and Catherine Sheridan Accused of Being Involved Ulysses Partners Unregistered Securities
:
Updated:
Prospera Financial’s Douglas Dannhardt Suspended Over Excessive Trading Claims
:
Updated:
National Securities Broker Vito Balsamo Under FINRA Investigation Over V.W. Industries Sales
:
Updated:
Broker Investigation: Brian Decker Churning Claims
:
Updated:
Paul Godlewski Formerly of Allstate Financial Barred Over Outside Business Activities Investigation
:
Updated:
BlackGold Opportunity Fund Investors Suffer Losses
:
Updated:
Wells Fargo Broker Joseph DiRago Jr. Sanctioned for Unauthorized Trading
:
Updated:
Broker Investigation: Gregory Dean Churning Claims
:
Updated:
Gana LLP Broker Spotlight: LPL Financial Advisor Karl Romero’s Private Placement Sales
:
Updated:
Gana LLP Broker Spotlight: Pasquale “Pat” Vitucci Sales of Variable Annuities
:
Updated:
Former RBS Securities Advisor Matthew Katke Plead Guilty For RMBS and CLO Fraud
:
Updated:
Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstances
:
Updated:
Former Ameriprise Advisor Jack McBride Discharged Over Soliciting Leveraged ETFs
:
Updated:
Former Edward Jones Advisor Daniel Retzke Barred Over Private Securities Investigation
:
Updated:
Michael Oppenheim Charged With $20 Million Theft of Client Funds
:
Updated:
Macquarie Capital Accused of Failing to Conduct Due Diligence in Failed Puda Coal Offering
:
Updated:
Izak Zirk de Maison and Stephen Wilshinsky Charged in Gepco Pump-and-Dump Fraud
:
Updated:
LPL Financial Advisor Raymond Schmidt Accused of Borrowing Millions for Hawaii Real Estate Investments
:
Updated:
Broker Investigation: Thomas Tedeschi’s Sales Practices
:
Updated:
Financial Advisor Barry Hartman Alleged to Have Sold Investments in Invizeon Corporation
:
Updated:
Former MetLife and Pruco Securities Advisor Bryan Anderson Charged With Ponzi Scheme
:
Updated:
Former IBN Financial Broker Brian Exford Barred Over Private Securities Sales
:
Updated:
Former PFS Investments Broker Michael Korson Barred Over My Coupon Genie Investment Sales
:
Updated:
Josh Abernathy Accused of Running Investment Scheme Through Omega Investment Group
:
Updated:
Broker Investigation: Salvatore Gioe’s Sales Practices
:
Updated:
Gana LLP Broker Investigation: Patric Baccam (a/k/a Khanh Sengpraseuth) Promissory Note Sales
:
Updated:
Ameriprise Broker Scott N. Smith Sanctioned Over Falsification of Firm Records
:
Updated:
EDI Financial Sanctioned Over Private Placement Supervisory Failures
:
Updated:
Foothill Securities Fined $210,000 Over Supervisory Failures
:
Updated:
Broker Spotlight: Wells Fargo Advisor Marcus Debaise
:
Updated:
FINRA Sanctions Oriental Financial Over Concentrated Customer Accounts in Puerto Rico Bond Funds
:
Updated:
FINRA Bars Former Legend Equities Principal Jerry Chancy Concerning Outside Business Activities
:
Updated:
MLP Fund MainStay Cushing Royalty Energy Hurt by Failing Oil & Gas Prices
:
Updated:
FINRA Bars Former Ameriprise Broker Ted Cadwallader Concerning Private Securities
:
Updated:
FINRA Files Complaint Against Broker Darnell Deans Over Undisclosed Tax Liens
:
Updated:
World Equity Group Alleged to Have Sold Private Placements Without Proper Due Diligence Part III
:
Updated:
Gana LLP Investigates WFG Investments Sale of Servergy, Inc.
:
Updated:
World Equity Group Supervisory Failures Explored Part II
:
Updated:
World Equity Group Fined $225,000 Over Supervisory Failures Part I
:
Updated:
FINRA Files Complaint Against Chris Fulco Over US Coal Corporation Transactions
:
Updated:
FINRA Bars Douglas Melzer Concerning Aquatic Synthesis Unlimited Investments
:
Updated:
Tapes Show That UBS Executives Forced UBS Brokers to Sell High Risk Bond Funds
:
Updated:
LPL Financial Terminates Charles Fackrell Over Securities Fraud Claims
:
Updated:
SEC Alleges that Levi Lindemann Engaged in a Ponzi Scheme
:
Updated:
Former Merrill Lynch Broker Kwok Chiu Sanctioned Over Unauthorized Discretionary Trading
:
Updated:
Update On Eric Johnson Alleged Theft of Over $1,000,000 in Customer Funds
:
Updated:
Broker Allen Green Alleged to Have Made Unsuitable Investment Recommendations Based a Theory of Economic Collapse
:
Updated:
FINRA Bars Broker Gregg Beemer Concerning Private Securities
:
Updated:
FINRA Bars Broker David Blasik Concerning Allegations of Outside Business Activities
:
Updated:
Cary Olson Sanctioned by FINRA Over Non-Traditional ETF Sales
:
Updated:
Broker Investigation: Stephen Dealy’s Alternative Investment Recommendations
:
Updated:
FINRA Files Complaint Against Daniel McCourt Concerning Promissory Notes
:
Updated:
Gana LLP Broker Spotlight: Wade Lawrence
:
Updated:
Broker Marc Evans Sanctioned Concerning Selling Away Global Safety Labs and Real Estate Investments
:
Updated:
FINRA Sanctions Broker Douglas Campbell Jr. Over Unsuitable Investment Advice
:
Updated:
FINRA Sanctions Financial Advisor Tory Duggins Over Unauthorized Discretionary Trading
:
Updated:
FINRA Sanctions Former Ameriprise Broker Radcliffe Daly Over Sloud Recommendations
:
Updated:
FINRA Sanctions Felt & Company Broker Timothy O’Brien Over Discretionary Trades
:
Updated:
FINRA Sanctions Felt & Company Over Leveraged ETF Recommendations to Clients
:
Updated:
FINRA Sanctions Former LPL Financial Broker Marc Baldinger Over Private CMO I/O Strip Sales
:
Updated:
FINRA Bars Broker David Lavine Concerning Allegations of Outside Business Activities
:
Updated:
FINRA and SEC Bring Action Against Timothy Dembski and Walter Grenda Over Fraudulent Sales in Prestige Wealth Management
:
Updated:
Gana LLP Investigation Spotlight: Source Capital Group and Donald Saccomano
:
Updated:
WFG Investments Sanctioned Over Failure to Review Transactions for Suitability Part II
:
Updated:
FINRA Sanctions WFG Investments $700,000 for Supervisory Failures Part I
:
Updated:
Broker Spotlight: Shawn Burns of Salomon Whitney
:
Updated:
FINRA Brings Action Against Randor Research, William Scholander, and Talman Harris
:
Updated:
Update On SEC F-Squared Investments Action – Fined $35 Million
:
Updated:
Gana LLP Brings Claim on Behalf of its Client Against Fidelity Brokerage Services
:
Updated:
FINRA Bars Broker Michael Evangelista Over Real Estate Securities Sales
:
Updated:
FINRA Fines Sigma Financial Over Supervisory Failures Part II
:
Updated:
FINRA Fines Sigma Financial Over Supervisory Failures Part I
:
Updated:
FINRA Bars Broker Chase Casson For Failing to Respond to Inquiries Over Private Transactions
:
Updated:
Overconcentrated in Oil and Gas Investments?
:
Updated:
Wedbush Securities Regulatory Actions Explored Part III
:
Updated:
Wedbush Securities Plagued by Numerous Regulatory Actions Part II
:
Updated:
Wedbush Securities Supervisory Failures Exposed in Numerous Regulatory Actions Part I
:
Updated:
FINRA Fines 10 Brokerage Firms $43.5 Million For Conflicts of Interests in Toys “R” Us IPO
:
Updated:
FINRA Fines Popular Securities Over Concentrated Customer Accounts in Puerto Rico Municipal Bonds and Bond Funds
:
Updated:
FINRA Bars Former Pruco Securities and MetLife Securities Broker Derek Weaver
:
Updated:
Brokerage Firm Spotlight: Investor Claims of Churning Against Rockwell Global Capital
:
Updated:
Broker Spotlight: Calton & Associates Broker Kenneth Popek
:
Updated:
Customers Complain Broker William Sheehan Sold Unsuitable TIC Investments
:
Updated:
Former Cambridge Investment Broker Steven Walstad Suspended Over Unsuitable Investment Sales
:
Updated:
Gana LLP Brings Claim on Behalf of Client Against Rockwell Global Capital
:
Updated:
Newbridge Securities Corporation Sanctioned By FINRA Over Sales Practices
:
Updated:
Aegis Capital Corp. Broker Malcom Segal Barred From Industry Over Allegations of Outside Business Activities
:
Updated:
Virtus Investment Partners and Funds Negatively Effected by F-Squared Investments SEC Probe
:
Updated:
Complaint Filed Against Joseph Hooper Relating to iPractice Group Investment Sales
:
Updated:
Broker Spotlight: John J. Quintero Subject to Several Customer Complaints
:
Updated:
Arque Capital Sanctioned By FINRA Over GWG Renewable Secured Debentures Sales
:
Updated:
Ameritas Broker Jason Muskey Accused of Stealing Customer Funds
:
Updated:
Center Street Securities Broker Jason Lamb Sanctioned Over GWG Renewable Secured Debentures
:
Updated:
Oil and Gas Investments – Issuers Profit While Investors Take All the Risk
:
Updated:
Illinois Secretary of State Brings Action to Ban James B. Markoski from Selling Securities in Illinois
:
Updated:
FINRA Alleges Numerous Supervisory Failures at Sammons Securities Part II
:
Updated:
FINRA Sanctions Sammons Securities Company Over Host of Supervisory Failures Part I
:
Updated:
Equipment Leasing Programs LEAF and ICON: Too Costly to Invest In
:
Updated:
Securities America Broker James McLaughlin Sanctioned Over Churning Allegations
:
Updated:
FINRA Alleges SWS Financial Services Failed to Supervise Variable Annuity Transactions
:
Updated:
Atlas Energy Oil and Gas Investments: Risks Investors Should Know Part II
:
Updated:
Atlas Energy Oil and Gas Investments: A Risky Proposition Part I
:
Updated:
LPL Financial Broker Jon Cox Under Investigation For Outside Business Activities
:
Updated:
Aegis Capital Corp. Broker Malcom Segal Barred From Industry Over Allegations of Outside Business Activities
:
Updated:
Global Brokerage Services Fined Over Misleading Account Statements
:
Updated:
Cantella & Co. Accused of Overcharging Client Commissions
:
Updated:
LaSalle St. Securities Sanctioned Over Private Placements Part II
:
Updated:
LaSalle St. Securities Fined Over Private Placement Sale Related Misconduct Part I
:
Updated:
Why Your Broker Asking You to Sign A Comfort Letter is A Big Misconduct Red Flag
:
Updated:
Gana LLP Broker Investigation – Former Berthel Fisher Broker Robert Smith
:
Updated:
FINRA Sanctions Essex Securities for Failing to Supervise Mutual Fund Switching
:
Updated:
FINRA Sanctions Genworth Financial for Failing to Supervise Churning of Customer Accounts
:
Updated:
FINRA Sanctions Ameriprise Over Arbitration Discovery Abuse Part II
:
Updated:
Is FINRA Ready to Get Serious About Arbitration Discovery Abuse? Part I
:
Updated:
FINRA and SEC Release Guidance on Avoiding Penny Stock Schemes
:
Updated:
Gana LLP Investigates Richard Martin Formerly of G.F. Investment Services, LLC
:
Updated:
Gana LLP Investigates JP Morgan in Connection with Allegations against Benjamin Maleche
:
Updated:
Broker Eric Johnson Terminated for Allegedly Stealing Over $1,000,000 From Investors
:
Updated:
Massachusetts Fines LPL Financial Over Variable Annuity Sales Practices to Seniors
:
Updated:
Do Increased Investor Risks Lurk Behind the SEC’s Revisiting of the Accredited Investor Definition Part II
:
Updated:
Accredited Investor Definition Revisited By SEC Part I
:
Updated:
SEC Rejects Bids by Funds to List Nontransparent ETFs
:
Updated:
Illinois Files Churning Complaint Against James Markoski
:
Updated:
LPL Financial Fires Texas Broker James “Jeb” Bashaw
:
Updated:
Gemini Real Estate Advisors Risk Investor Funds in Private Legal Dispute
:
Updated:
Stifel Nicolaus Broker Robert Head Terminated and Barred for Unauthorized Trading
:
Updated:
Broker Spotlight – Mark Johanson’s Sale of Tenants-in-Common (TIC)
:
Updated:
Gana LLP Investigates Investor Claims of Churning at Global Arena Capital and Whitewood Group
:
Updated:
Gana LLP Files Claim On Behalf of Customer Against Legend Securities for Churning and Unauthorized Trading
:
Updated:
Why is UBS Still Selling the UBS Puerto Rico Bond Funds?
:
Updated:
UBS Puerto Rico Fined $3.6 Million and to Pay $1.7 Million in Restitution to Customers of its Bond Funds
:
Updated:
SEC Approves Changes to Value of Non-Traded REITs on Account Statements
:
Updated:
FINRA Declines Rule Requiring Brokerage Firms To Carry Insurance
:
Updated:
Brokerage Firms Halt Sales of American Realty Capital Related REITs
:
Updated:
Ismail Elmas Admits to Stealing Over $1 Million From Investors
:
Updated:
Broker Stephen Campbell Sanctioned Over Churning Claim
:
Updated:
Why Wall Street Fights Against the Fiduciary Standard
:
Updated:
Regulator Finds that Center Street Securities Made Unsuitable Recommendations of GWG Renewable Secured Debentures Part II
:
Updated:
FINRA Sanctions Center Street Securities Over Sales of GWG Renewable Secured Debentures Part I
:
Updated:
FINRA Files Complaint Against Toni Chen Over Failure to Respond to Inquiries Relating to a Pyramid Scheme
:
Updated:
FINRA Sanctions Financial America Securities and John Rukenbrod Over Supervisory Failures
:
Updated:
FINRA Bars Broker Joseph Pappalardo Over Allegations of Sales of Coast-2-Coast Properties Securities to Customers
:
Updated:
FINRA Fines Feltl & Company $1 Million Conerning the Firm’s Penny Stock Business
:
Updated:
Non-Traded REITs Sales Grow As Shown in Second Quarter 2014 Rankings
:
Updated:
Top 10 Signs of Investment Fraud
:
Updated:
FINRA Sanctions Huntleigh Securities Concerning Non-Traditional ETF Sales Practices
:
Updated:
Broker Edward Wendol Barred by FINRA Over Failure to Respond to Outside Business Activity Inquiries
:
Updated:
Broker Thomas Sharp Sanctioned by FINRA Over Misleading Statements Concerning Non-Traded REITs
:
Updated:
Broker Lorene Fairbanks Alleged to Have Made Unauthorized Trades in Client Accounts
:
Updated:
Center Street Securities Broker David Escarcega Investigated Over GWG Debenture Sales
:
Updated:
Adam Gana Discusses New Rules Governing Civil Litigation in New York
:
Updated:
Dennis Karasik Barred by FINRA Over Diversified Energy Group Sales
:
Updated:
The NASAA Announces New Initiative to Focus on Senior Investor Abuse
:
Updated:
Former First Allied Broker Herbert Kaye Suspended for Unauthorized Trading
:
Updated:
An Examination of LPL Financial’s Recent Regulatory Woes
:
Updated:
SEC Cracks Down on Wrap Accounts to Prevent “Reverse Churning”
:
Updated:
Regulators On the Look Out for “Reverse Churning”
:
Updated:
Gana LLP is Investigating Benjamin F. Edwards in connection with the Firm’s Supervision of Aon Miller
:
Updated:
FINRA Suspends former Morgan Stanley Smith Barney Broker Travis Shannon for Failing to Divulge Information
:
Updated:
FINRA Files Complaint Against Former VSR and Berthel, Fisher Broker, Steven L. Stahler
:
Updated:
Gana LLP is Investigating LPL Financial broker, Kenneth W. Schulz for Improper Conduct
:
Updated:
FINRA Updates
:
Updated:
Choosing the Right Securities Arbitration Attorney
:
Updated:
FINRA Suspends and Fines Former First Allied Broker Frank N. Dettenrieder
:
Updated:
LPL Financial Fined For Failure to Properly Supervise Variable Annuities Transactions
:
Updated:
FINRA Suspends Financial Advisor Over Unsuitable Variable Universal Life (VUL) Sales Practices
:
Updated:
FINRA Alleges that Former Waddell & Reed Employee, Jeffrey Meyer, Engaged in 37 Private Placement Transactions without Proper Notice
:
Updated:
UBS Preparing to Face Investor Claims Over Puerto Rico Bond Funds
:
Updated:
Broker Ismail Elmas Terminated Over Outside Business Activities
:
Updated:
Gana LLP Investigation – Former RBC Capital Markets Broker Michael Zukowski
:
Updated:
Adam Gana is Quoted in OnWallStreet.com
:
Updated:
Advisor Raymond Clark Suspended Over Allegations of Securities Related Misconduct
:
Updated:
FINRA Files Complaint Against Broker Anthony Diaz
:
Updated:
Oak Ridge Financial Services Sanctioned Over Non-Traditional ETF Sales Practices
:
Updated:
FINRA Sanctions B. C. Ziegler and Company For Failure to Supervise Church Bond Sales (Part II)
:
Updated:
B. C. Ziegler and Company Sanctioned Over Allegations of False and Misleading Advertising
:
Updated:
FINRA Sanctions 79 Capital Securities Over GWG Debenture Sales
:
Updated:
Former Merrill Lynch Broker George Zaki Sanctioned Over Unauthorized Trading Allegations
:
Updated:
Scott Woller of Gana LLP discusses his Successful Career with Law Crossing
:
Updated:
Broker Richard Lewis Formerly of LPL Financial Sanctioned Over Alleged Improper Use of Discretion
:
Updated:
Broker Sanctioned Over Allegations of Unsuitable Variable Universal Life (VUL) Policies
:
Updated:
optionsXpress, Inc. Sanctioned Over Allegations of Unlicensed Securities Sales
:
Updated:
NEXT Financial Group Sanctioned Over Failure to Adhere to Industry Rules
:
Updated:
Great American Advisors Sanctioned Concerning Supervision of Variable Annuities
:
Updated:
Blackbook Capital Sanctioned For Overcharging Clients
:
Updated:
Broker Spotlight – Mark Lisser Accused of Churning by at Least Three Customers
:
Updated:
Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placements
:
Updated:
Matthew Davis Barred Over Allegations of Conversion of Funds and Unauthorized Trading
:
Updated:
IRS Brings Charges Against Barred Broker William Bucci
:
Updated:
Brokerage Firm Safeguard Securities and Peter Mooney Sanctioned Over Numerous Supervisory Failures
:
Updated:
SEC Releases Alert Warning Investors About Affinity Fraud
:
Updated:
Business Development Companies (BDC) – Investment Risks to Be Aware of – Part II
:
Updated:
Adam Gana of Gana LLP Receives the AVVO 2014 Cleints’ Choice Award
:
Updated:
Business Development Companies (BDC) – The Next Risky Wall Street Cash Cow?
:
Updated:
Gana LLP Represents Seven Former Clients of Sean Sheridan Against JP Turner (Part II)
:
Updated:
Gana LLP Files Complaint on Behalf of Seven Former Clients of Sean Sheridan Against JP Turner
:
Updated:
Gana LLP Files Complaint on Behalf of a Family Against First Allied Securities and Centaurus Financial
:
Updated:
FINRA Sanctions Salomon Whitney Over Non-Traditional ETF Sales Practices
:
Updated:
Gana LLP Files Complaint on Behalf of Five Customers Against JP Turner and National Securities Concerning Ralph Calabro’s Churning
:
Updated:
Gana LLP Files Customer Complaint Against JHS Capital Concerning Broker Joe Alijaj
:
Updated:
Gana LLP Files Puerto Rico Municipal Bond Claim Against UBS On Behalf of Client
:
Updated:
Broker Robert Livingstone Barred Over Alleged Sales of Newland Strategies to Customers
:
Updated:
Gana LLP Investigates Claims of Churning Involving Newport Coast Securities Brokers (Part II)
:
Updated:
FINRA Files Complaint Against Newport Coast Securities, Five Brokers, and Two Supervisors Over Churned Accounts
:
Updated:
Broker Kevin Nevin Sanctioned Over Alleged Sales of Private Securities Transactions
:
Updated:
FINRA Sanctions Michael Wurdinger and Anil Vazirani Over GWG Debenture Sales
:
Updated:
James Applewhite Fined Over Allegations of Unauthorized Discretionary Trading
:
Updated:
James Bracey Barred Over Allegations of Taking Loans from Customers
:
Updated:
Advanced Equities Fined Over Failure to Disclose Material Information Concerning Fisker Automotive Private Placements (Part II)
:
Updated:
Gana LLP Successfully Represented TapImmune Inc. in a Commercial Arbitration Suit
:
Updated:
Advanced Equities Fined Over Allegations of Failure to Disclose Information Concerning Fisker Automotive Private Placements
:
Updated:
Investor Alert: Brokers Matthew Bell and Craig Josephberg Indicted in CodeSmart Holdings (OTC: ITEN) Scam
:
Updated:
Gana LLP Investigates Broker Angelo Talebi’s Investment Activities: Attention Iranian Investors in California
:
Updated:
SEC Alleges Broker Craig Josephberg Involved in a $300 Million Market Scheme of CodeSmart Stock (Part II)
:
Updated:
Gana LLP Investigates Craig Josephberg’s Alleged $300 Million Market Scheme
:
Updated:
Unsuitable Variable Annuity Sales A Continuing Concern for Regulators
:
Updated:
FINRA Fines Merrill Lynch For Overcharging Mutual Fund Customers
:
Updated:
Former Sterne Agee Broker Dean Mustaphalli Alleged to Have Wrongfully Run $6 Million Hedge Fund
:
Updated:
Wells Fargo Broker Michael Frew Accused of Running Fictitious “Real Estate” Scam
:
Updated:
Bank Loan ETFs – Buyer Beware
:
Updated:
Broker Douglas Cmelik Sanctioned by FINRA Over Soliciting Penny Stock Purchases
:
Updated:
Broker David Diehl Sanctioned by FINRA Over the Unauthorized Sale of Promissory Notes
:
Updated:
Claus Foerster Barred Over Allegations Concerning Fictitious “S.G. Investments”
:
Updated:
Gana LLP Files Claim Against JHS Capital Advisors Concerning Broker Enver Alijaj’s Activities
:
Updated:
FINRA Sanctions Polar Investment Over Penny Stock Transactions
:
Updated:
Moloney Securities Fined Over Supervisory Failures Concerning Non-Traditional (Leveraged) ETFs
:
Updated:
Infinex Investments Fined Over Unsuitable Sale of Non-Traditional (Leveraged) ETFs
:
Updated:
Gilford Securities Fined by FINRA Over Deficient Supervisory Procedures
:
Updated:
Dawson James Securities Sanctioned Over Alleged Supervisory Failures
:
Updated:
JP Turner Sanctioned Again By Financial Regulator
:
Updated:
Carolina Financial Fined by FINRA Over Private Placement Due Diligence
:
Updated:
Unsuitable IRA Investments On the Rise – Part III
:
Updated:
Beware of Brokerage Firms Soliciting 401(k) Rollovers – Part II
:
Updated:
Brokerage Firms Profit Off of 401(k) Rollovers at Investors’ Expense
:
Updated:
Adam Gana Publishes Article on the Problems with Securities Laws in New York
:
Updated:
The Failure to Protect the Public From Securities Fraud – Part II
:
Updated:
The Failure to Protect the Public From Securities Fraud – Part I
:
Updated:
Wells Fargo Advisors Awarded Limited Recovery On Broker Promissory Note
:
Updated:
Ameriprise Slammed With $1.17 Million Decision Concerning Tenants-in-Common (TIC) Investments
:
Updated:
Morgan Stanley Fined $5,000,000 For Failure To Supervise Sales of IPO’s
:
Updated:
Investment Fraud Update: Patricia Miller Charged in Ponzi Scheme
:
Updated:
FINRA Fines Investors Capital Corp. Over Failing to Supervise ETF Sales
:
Updated:
FINRA Fines Commonwealth Financial Network Concerning Email Supervisory Failures
:
Updated:
Ralph Lord Disciplined Over Outside Business Activities in SigFX and Cranebrake
:
Updated:
SEC Charges Brokers Jerry Cicolani and Jeffrey Gainer in KGTA Petroleum Securities Scam
:
Updated:
Gana LLP Investigates Broker Patricia Miller’s Ponzi Scheme
:
Updated:
Ameriprise Broker Jeffrey Davis Barred Accused of Converting Client Funds
:
Updated:
FINRA Sanctions Larry Steven Werbel for Selling Away and Other FINRA Violations
:
Updated:
Gana LLP Files Claim Against First Allied Securities on Behalf of Luxtera Investors
:
Updated:
Broker Robert Acri Barred Over Failure to Respond to FINRA Investigation
:
Updated:
Ameriprise Advisor Michael Hainsworth Sanctioned Over Misleading REIT Sales
:
Updated:
Former MML Investors and AXA Advisors Broker Monte Miron Barred From Brokerage Industry
:
Updated:
Broker Jeffrey Schrader Barred Over Selling Away Allegations
:
Updated:
FSC Securities Broker Timothy Moran Barred From Industry Over Involvement in Hampton Capital Management
:
Updated:
Mislead into Investing in Tenants-in-Common (TIC) Property?
:
Updated:
Sales of Non-Traded REITs Contributes to Increased Broker Dealer Revenues
:
Updated:
Wall Street Wants to Sell Private Equities to Average Joes
:
Updated:
LPL Financial Broker Reniero Francisco Accused of Misappropriating Millions in Client Funds
:
Updated:
FINRA Drops Bid to Regulate Investment Advisors – For Now
:
Updated:
Two MetLife Advisors Alleged to Have Wrongfully Exchanged Variable Annuities
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Updated:
How to Sell Restricted Stock Under Rule 144
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FINRA Approves Expanded Broker Background Checks and Disclosures
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FINRA Determines that Charles Schwab Cannot Bar Clients From Participating in Class Actions
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Securities Watchdog is Actually Asleep At the Wheel
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How Elderly Investors Can Protect Their Retirement Savings
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The Risks of Investing In Variable Annuities
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William Coolidge of Stifel Nicolaus Barred by FINRA Over Unauthorized Trading Activity
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The Dangers of Oil and Gas Private Placements
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Colorado Financial Service Fined By FINRA Over Private Placement Supervisory Failures
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LPL Financial Fined by FINRA for Failing to Supervise Sales of Alternative Investments
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FINRA Fines Triad Advisors and Securities America for Failure to Supervise Issuance of Consolidated Reports
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New York State Fines AXA Equitable $20 Million Over Variable Annuity Products
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Investors in LEAF Limited Partnerships May Have A Investment Claim
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FINRA Announces UBS Puerto Rico Bond Fund Cases to Move Forward
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Pennsylvania Regulator Investigates Securities America and Landenburg Thalmann Non-Traded REIT Sales
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Hits of the 80’s and 90’s Sounding Like Fraud: Gana LLP Files Suit Against Producer of Classic Tunes
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Meyers Associates: Black Marks and Red Flags
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FINRA Investigating Newest Puerto Rico Issuance of Municipal Bonds
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Marylin Meyers Formerly of Allstate Financial Services Suspended Over Selling Away Activities
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Centaurus Financial Sanctioned Over Allegations of Supervisory Failures
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Berthel Fisher fined $775,000 by FINRA for Failing to Supervise the sale of Alternative Investments
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Updated:
Barclays Capital Fined $3.75 Million Regarding Record Retention Failures
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Gana LLP Files Churning Case Against RBC and Morgan Stanley on Behalf of Client
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SEC Issues Largest Monetary Sanction for Rule 105 Short Selling Violations Ever
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The Supreme Court May Limit Securities Fraud Suits
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Gana LLP Files Complaint Against H. Beck on Behalf of Client For Unsuitable Investment
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Three Rockwell Global Capital Brokers Accused of Securities Misconduct by Customers
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Former Newport Securities and Securities America Broker fined by FINRA for Selling Away
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Bill Tatro and Mary Helen Caprice Mallett Accused of Selling Unsuitable Private Placements Securities Part II
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Allen Olander of Centaurus Financial Sanctioned Over Variable Annuity Sales
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National Planning Corporation Broker Matthew Westfall Sanctioned Over Outside Business Activities and Non-Traded REIT Sales
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Hantz Financial Services Sanctioned Over Non-Traded REIT Due Diligence Failures
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Updated:
Gana LLP Files Complaint on Behalf of Former NFL Player
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Bill Tatro and Mary Helen Caprice Mallett Accused of Selling Unsuitable Private Placements Securities Part I
:
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Edward Jones Sanctioned Over Unsuitable Nontraditional ETF Sales
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JP Turner Sanctioned By FINRA Over Non-Traditional ETF Sales and Mutual Fund Switches
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Gana LLP Seeks Relief for Victim of Stanford Ponzi Scheme Against Clearing Broker, Pershing, LLC
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Former LPL Financial Broker Brian Brunhaver Accused of Fraud in the Sale of Non-Traded REITs
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Are Your Investments Appropriate for You?
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John Towers of VSR Financial Sanctioned Over Unsuitable Sale of Alternative Investments and Private Placement Securities
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JP Turner Supervisor Sanctioned Over Failure to Supervise Mutual Fund Switches
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Silver Oak Securities Fined Over Non-Traditional ETF Sales
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FINRA Bars Gary Chackman Over Allegations of Unsuitable Non-Traded REIT Sales
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Why Corporations Should Hire Small Law Firms
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Sterne Agee Financial Services Fined Over Failing to Supervise Excessive Trading or “Churning” Activity
:
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FINRA Alleges Royal Securities Company Failed to Supervise the Sale of Church Investments – Part II
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Gana LLP Secures Unanimous Appellate Decision in the First Department
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Merriman Capital Sanctioned Over Private Placement and Supervisory Failures
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FINRA Alleges Royal Securities Company Had Numerous Supervisory Deficiencies – Part I
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Gana LLP Moves and Welcomes a New Associate
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Center Street Securities Fined by FINRA Over Email Supervisory Failures
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Matrix Capital and Christopher Anci Sanctioned by FINRA Over Variable Annuity Practices
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FINRA Proposes Rule Addressing Valuation Issues of REITs and DPPs
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PNC Investments Fined by FINRA Over Sale of Non-Traditional ETFs
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Gana LLP Investigates Alleged Fraudulent Activity Related to Credit Suisse’s TVIX Notes
:
Updated:
Investment Losses In Oppenheimer Global Resource Private Equity Fund
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FINRA Alleges that Cambridge Investment Research Failed to Supervise Broker Emails
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Will I Win My FINRA Securities Arbitration Claim?
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Gana LLP Investigates Icon Leasing Fund Eleven and Twelve
:
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FINRA Debates Rule Allowing Matters to Be Referred to Enforcement During Arbitration Cases
:
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SEC Staff Issues Risk Alert on Alternative Investments Due Diligence
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FINRA fines Brown Brothers Harriman & Co. (BBH) $8 Million for Substantial Anti-Money Laundering Compliance Failures
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Stifel, Nicolaus & Company and Century Securities Associates Fined by Regulator Over Leveraged ETFs
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Thomas Oakes of Royal Securities Sanctioned Over Allegations of Unsuitable Investments
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Former LPL Financial Broker Donald Dahn Sanctioned Over Private Loans to Customers
:
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Michael DeRosa Barred for Failing to Respond to Allegations of Involvement with Success Trade Promissory Notes
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UBS Peurto Rico Bond Funds Vulnerable as S&P Downgrades Puerto Rico Debt to “Junk”
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FINRA Suspends Former NSM Securities Supervisor Irving Burstein
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Benjamin Cox of Red River Securities Settles Charges Over Improper Sales Of Oil and Gas Private Placements
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Broker William Hogue Suspended Over Science Fitness Promissory Note Sales
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FINRA Files Complaint Against Jamie Diaz Concerning Soliciting Clients for Investments in Nuela Restaurant, Nordica Development, and Marca Restaurant
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New Jersey Files Complaint Against George Bussanich Over Fraudulent Note Scheme
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Ex- Stratton Oakmont Broker Accused of Churning
:
Updated:
Howard Allen, Joseph McGowan, and Peter Pak Settle FINRA Charges Concerning Allen Partners Promissory Notes
:
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FINRA Addresses Conflicts of Interest In the Sales of Securities
:
Updated:
Rive, Leavell & Co. Sanctioned Over Misleading Communications In the Sale of Church Bonds
:
Updated:
The Problem of Senior Investor Abuse – A Securities Attorney’s Perspective
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FINRA Sanctions Bedminster Financial Group Concerning Allegations of Supervisory Failures
:
Updated:
Gana LLP, New York Real Estate Litigation Attorneys, File Action on behalf of a Luxury Condominium against Sponsors for Construction Defects
:
Updated:
Investor Tips to Avoid Losing Money in Private Placements and Alternative Investments
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Ronald Anglin Investigated by the SEC Over Charges of Securities Fraud
:
Updated:
Mary Faher of WR Rice Suspended By FINRA Over Private Placement Sales
:
Updated:
FINRA Panel Awards Customer in A Claim Over the Erickson Retirement Communities Private Placement
:
Updated:
Paul Thomas of Lincoln Financial Suspended By FINRA Over Penny Stock Trades
:
Updated:
Will Puerto Rico Municipal Bonds Default?
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Updated:
Securities Broker Christopher Orlando Suspended Over Sale of Diversified Lending Group Promissory Notes
:
Updated:
FINRA Bars LPL Financial Broker for Falsifying Documents
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Updated:
James Busch of Wells Fargo Advisors Barred Over Allegations of Misappropriating $1.3 Million from Customers
:
Updated:
Saxony Securities Fined by Securities Regulator Over Sale of Nontraditional ETFs
:
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Paul Renard of SII Investments Suspended Over Unsuitable Sales of Nontraditional ETFs
:
Updated:
Senators Probe Broker Background Check Expungement Practices
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Jeffrey Isaacs of Investors Capital Corporation Suspended Over Unsuitable Sale of Securities
:
Updated:
FCC Clamps Down on Unsolicited Texts and Phone Calls
:
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Maurice Chelliah of World Group Securities Barred Over Allegations of Improper Investment Recommendations
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Updated:
David Kauffman of First Allied Barred Over Allegations of Sale of Private Placements
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Broker Joseph Giordano of Capital Investment Group Sanctioned Over Empire Debenture Sales
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HFP Capital Markets’ Employees Sanctioned Over Metals Millings and Mining Private Placement Offering
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FINRA Bars Gevorg Daldumyan of Transamerica Over Allegations Concerning Condominium Cooperative Investments
:
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Are You Investing in Bad Bond Funds?
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Updated:
Churning Zero Coupon Bond Treasuries
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Updated:
How to Find An FINRA Securities Attorney to Assist in Your Investment/Broker Case
:
Updated:
UBS Puerto Rico Bond Fund Sales Practices Come Under Fire
:
Updated:
Adam Gana of Gana LLP is Quoted in a Reuters Article About FINRA Arbitrator Pay
:
Updated:
Source Capital Group Employees Sanctioned Over Blue Ridge and Argyle Oil and Gas Private Placements
:
Updated:
Former Ryan Beck and Oppenheimer Financial Advisor William Bucci Barred From the Financial Industry
:
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Former LPL Financial Broker Stephen Brown Accused of Selling Private Real Estate Investments
:
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SEC Finds That Former JP Turner Broker Dimitrios Koutsoubos Engaged In Churning
:
Updated:
Senator Warren proposes 21st Century Glass-Steagall Act
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Coker & Palmer Broker Sanctioned Over Allegations of Failure to Conduct Due Diligence on Private Placement Offering
:
Updated:
Wells Fargo Sanctioned by FINRA Over Allegations of Supervisory Failures
:
Updated:
SEC Order Finds That Former JP Turner Broker Jason Konner Engaged In Churning
:
Updated:
Former Merrill Lynch Broker David Zeng Barred From the Financial Industry
:
Updated:
Mark F. Spangler Convicted of Fraud and Money Laundering
:
Updated:
SEC Finds that Former JP Turner Broker Ralph Calabro Churned A Client’s Account
:
Updated:
Michael Blake Sanctioned Over Sales of Real Estate Securities
:
Updated:
Have You Been a Victim of Securities Fraud?
:
Updated:
SEC Charges A Subsidiary of Royal Bank of Scotland with Misleading Investors in Subprime RMBS Offering
:
Updated:
Broker James Tallant Suspended Over Allegations of Excessive Trading and Quantitative Unsuitable Investments
:
Updated:
Merrimac Corporate Securities, Inc.’s President and CEO Suspended Over Failure to Supervise Allegations
:
Updated:
FINRA Arbitration Panel Awards BBVA Securities’ Investors $1.2 Million
:
Updated:
FINRA Bars Broker Richard Manchester of Girard Securities Over Private Placement Sales
:
Updated:
What are Leveraged or Non-Traditional ETFs?
:
Updated:
Managed Futures Funds Erase Investor Gains with Excessive Fees
:
Updated:
FINRA Bars Broker Mark Hotton Alleging Numerous Fraudulent Activities in Client Accounts
:
Updated:
FINRA Files Regulatory Action Against Beverly Hills Broker Bambi Holzer
:
Updated:
What are Tenants-in-Common Securities?
:
Updated:
Do I Have a Securities or Investment Claim?
:
Updated:
Broker Sanctioned Over Unsuitable Sales of Private Placement Securities
:
Updated:
Fidelity In Lawsuit Over Its Employees’ 401(k) Plan
:
Updated:
Advanced Equities and First Allied Sales of Fisker Automotive Private Placements Under Scrutiny – Part II
:
Updated:
Gana LLP Investiga las ventas de Bonos del Fondo de Puerto Rico hechas por UBS Puerto Rico, Popular Securities, y a Santander Securities
:
Updated:
Advanced Equities and First Allied Sales of Fisker Automotive Private Placements Under Scrutiny – Part I
:
Updated:
Capstone Asset Planning Company Fined Over Misleading Church Bond Mutual Fund Disclosures
:
Updated:
Broker Jerry McGlothlin of Lincoln Financial Barred Over Selling Away Allegations
:
Updated:
Sunset Financial Services Fined By FINRA Over Nontraditional (Leveraged) ETF Sales
:
Updated:
SEC Announces a $14 million Whistleblower Award
:
Updated:
FINRA Sanctions Broker Over Unsuitable Concentrations in Private Placement Securities
:
Updated:
FINRA Fines Brokerage Firm Over Misleading Variable Annuities Disclosures and Failure to Supervise
:
Updated:
FINRA Files Amended Complaint Against John Carris Investment LLC for Stock Manipulation and Unsuitable Offerings
:
Updated:
FINRA Suspends Broker Anthony Mediate for 60 Days Over Allegations of Excessive Trading (Churning) and Unauthorized Trading
:
Updated:
Gana LLP Investigates UBS Puerto Rico, Popular Securities, and Santander Securities Sales of Puerto Rican Bond Funds
:
Updated:
FINRA Bars Broker Over Allegations of Churning (Excessive Trading) and Unauthorized Trading in Customer Accounts
:
Updated:
Former Waddell & Reed and Merrill Lynch Stockbroker Fined and Suspended for Misconduct
:
Updated:
Announcement: David I. Wax Joins Gana LLP
:
Updated:
Retired Auto Executive Sues UBS for $30 Million for Investment Fraud Related to Puerto Rican Bonds
:
Updated:
Adam Gana Selected to the National Lawyers Top 100 Trial Lawyers
:
Updated:
Larry Dearman and Others charged by the SEC for Fraud
:
Updated:
Diego Hernandez of AXA Advisors Accused of Misusing Customer Funds
:
Updated:
Robert Gist Fined $5.4 Million by the SEC and Barred From the Financial Industry
:
Updated:
How To Guide: Tips on Avoiding Investment Scams
:
Updated:
Darrell Frazier Accused of Selling Variable Annuities by Misleading Customers
:
Updated:
Adam Gana Ranked as 10/10 on Avvo.com
:
Updated:
Adam Gana Quoted In Reuters Article “How Lawyers Who Chase Brokers Invest Their Own Money”
:
Updated:
FINRA Publishes Fraud Susceptibility in the United States Study
:
Updated:
Conrad Bautista Barred From Financial Industry for Alleged Private Placements Sales
:
Updated:
VSR Financial Services, Inc. and Donald J. Beary Fined Over Alternative Investment Sales
:
Updated:
Jonathan G. Sorensen Barred Financial Industry Over Alleged Misuse of Customer Funds
:
Updated:
Private Placements – FINRA Warns Evaluate the Risks Before Investing
:
Updated:
Massachusetts Securities Regulator Subpoenaed 15 Brokerage Firms Over Products Sold to Senior Investors
:
Updated:
SEC Approves Advertising for Private Placements
:
Updated:
SEC Charged New York Based Hedge Fund Adviser Shadron Stastney, a Partner at Vicis Capital, LLC With Breaching Fiduciary Duty By Participating in Conflicted Principal Transaction
:
Updated:
How to Investigate your Investment Adviser or Broker Before You Invest
:
Updated:
FINRA Arbitration Panel Awards Investors $3.1 Million Against Citigroup Due to Failure to Supervise Selling Away Activities
:
Updated:
Adam Gana is Quoted in the Wall Street Journal Reuters After having Received $2.8 Million Award
:
Updated:
Centaurus Financial, Inc Broker Ralph Saviano Barred From Securities Industry
:
Updated:
UBS Preliminarlily Settles Lehman Principal Prtoected Note Cases – Should You Hold Out?
:
Updated:
David Mura Accused of Selling Unregistered Securities and Churning
:
Updated:
Eric Foster Accused of Unauthorized Trading and Churning Customer Accounts
:
Updated:
SEC Issues Concerns Over Private Oil and Gas Offerings
:
Updated:
Financial Advisors Have an Obligation to Provide Truthful Information When Selling Securities
:
Updated:
Turker Ergun Barred From Financial Industry for Alleged Misappropriation of Customer Funds
:
Updated:
Michael Kmetz Barred From Financial Industry for Alleged Private Securities Sales
:
Updated:
Jason T. Knapp Accused of Selling Away Violations
:
Updated:
Gana LLP Investigates Silver Oak Leasing and Alberto Neira
:
Updated:
The Dangers of Low-Priced (Penny Stocks) Securities
:
Updated:
Two Cantella & Co. Brokers Barred From the Financial Industry for Allegedly Misappropriating Customer Funds
:
Updated:
ACGM, Inc. Settles Charges with FINRA Concerning Misleading Advertising
:
Updated:
What is Churning?
:
Updated:
FINRA Finds George Kardaras and Brian Borakowski Sell Echo Canyon, LLC Away From Their Brokerage Firms
:
Updated:
John S. Turo Settles With Regulatory Agency Concerning Allegations of Selling Unregistered Securities
:
Updated:
Gana LLP Investigating Claims Against Success Trade Securities for Sale of Promissory Notes
:
Updated:
Karl Hahn Ordered by FINRA to Pay An Investor $11 Million
:
Updated:
FINRA Charged Commonwealth Capital Securities Corp. and Kimberly Springsteen-Abbott With Misusing Investor Funds
:
Updated:
vFinance Investments Inc. Settles Dispute Concerning Private Placements
:
Updated:
Broker-Dealers Settle with Massachusetts Securities Division Over the Alleged Improper Sales of Non-traded REITs
:
Updated:
FINRA Files Complaint Against David Mickelson Over Private Placement Sales
:
Updated:
First Allied Securities Has Been Accused of Selling Advanced Equities Securities By Misleading Investors
:
Updated:
Behringer Harvard REIT Fund Investor Losses Continue to Mount
:
Updated:
Adorean Boleancu Fined and Barred By FINRA On Fraud Charges
:
Updated:
James Glover Settles Charges with FINRA Accepting a Ban From the Securities Industry
:
Updated:
The SEC Accused Blake Richards of Stealing $2 Million from Clients
:
Updated:
Berthel Fisher Sued Over Failed Thompson National Properties 2008 Participating Notes Program
:
Updated:
Oppenheimer Fined $ 1.4 Million by FINRA For Alleged Improper Sale of Penny Stocks
:
Updated:
SEC Sanctions Colorado-Based Portfolio Manager for Forging Documents and Misleading Chief Compliance Officer
:
Updated:
Two JP Morgan Traders charged with Overvaluing Investments
:
Updated:
Morgan Stanley pays fines to State Regulators over Exchange Traded Funds (ETFs)
:
Updated:
Sunset Financial Services, Inc. Fined by FINRA Regarding Private Placement Sales
:
Updated:
Wells Fargo Fined $2.8 Million by FINRA Arbitration Panel
:
Updated:
Customer Complaints Brought Against Andrew Rosenberg, Stuart Horowitz, NFP Securities, and Securities America Concerning Improper Investments
Securities Lawyers Blog