MORGAN STANLEY LOSES $454,000 CUSTOMER ARBITRATION CASE
A panel of arbitrators of the Financial Industry Regulatory Authority [...]
CHRISTOPHER DOUGHERTY, C&D WEALTH MANAGEMENT, CHARGED IN PONZI SCHEME
The Securities and Exchange Commission has charged Christopher Dougherty and [...]
WOODBRIDGE GROUP EXECUTIVES ARRESTED OVER $1.3 BILLION PONZI SCHEME
Three executives for the Woodbridge Group of Companies, Robert H. [...]
UBS BROKER SENTENCED TO PRISON FOR PUERTO BOND FRAUD
One of UBS’s former top brokers in Puerto Rico, Jose [...]
HECTOR MAY PONZI SCHEME BRINGS GUILTY PLEA, LAWSUIT
Former Securities America, Inc. broker Hector Anthony May, of New [...]
CRAIG ARSENAULT BARRED FROM SECURITIES INDUSTRY BY SEC OVER $5.7 MILLION FRAUD
The Securities and Exchange Commission has entered an Order permanently [...]
JOHN GREGORY SCHMIDT BARRED BY SEC FOR STEALING FROM ELDERLY CLIENTS
The Securities and Exchange Commission has entered an Order permanently [...]
BB&T TO PAY $5 MILLION TO SETTLE CLAIMS THAT IT MISLED CLIENTS
The Securities and Exchange Commission has entered an Order finding [...]
WILLIAM GENNITY BARRED BY SEC AFTER CHURNING ALLEGATIONS
The Securities and Exchange Commission has entered an Order permanently [...]
FORMER BROKER SHAWN BALDWIN CONVICTED IN $10 MILLION FRAUD CASE
A federal jury in Chicago, IL has entered a guilty [...]
BRUCE C. WORTHINGTON SUSPENDED AFTER MISAPPROPRIATION ALLEGATIONS
The Financial Industry Regulatory Authority (“FINRA”) has suspended Middleton, Massachusetts [...]
BROKER FLOYD POWELL BARRED FOR UNAPPROVED PRIVATE SECURITIES TRANSACTIONS
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Floyd [...]
KESTRA INVESTMENT SERVICES SANCTIONED BY FINRA FOR OVERCHARGING INVESTORS
The Financial Industry Regulatory Authority (“FINRA”) has made findings against [...]
CAPITOL SECURITIES MANAGEMENT, INC. HIT WITH $2.38 MILLION DECISION BASED ON FRAUD, UNAUTHORIZED TRADING
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) [...]