UBS ORDERED TO PAY CUSTOMER OVER $564,000 FOR SALES OF PUERTO RICO MUNICIPAL BONDS AND BOND FUNDS
An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”), [...]
FORMER LPL BROKER CHERYL ANN STALLINGS BARRED BY FINRA FOR MISAPPROPRIATION OF CUSTOMER FUNDS
The Financial Industry Regulatory Authority (“FINRA”) has entered an Acceptance [...]
ROBERT LEE BASILE ARRESTED AND BARRED FROM SECURITIES INDUSTRY FOR TAKING $130,000 FROM HIS ELDERLY MOTHER
The Financial Industry Regulatory Authority (“FINRA”) entered an Acceptance, Waiver, [...]
WELLS FARGO ORDERED TO PAY PUNITIVE DAMAGES AND CUSTOMER ATTORNEYS’ FEES BASED ON FRAUD AND SECURITIES ACT VIOLATIONS
An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”), [...]
MOLONEY SECURITIES HIT WITH $300,000 ARBITRATION JUDGMENT
A Financial Industry Regulatory Authority (FINRA) arbitration panel has entered [...]
DOUGLAS SIMANSKI, FORMER NEXT FINANCIAL BROKER, TO PAY $3.9 MILLION FOR FRAUD SCHEME
Former NEXT Financial advisor Douglas Simanski, of Johnstown, Pennsylvania, will [...]
WOODBRIDGE CEO ROBERT SHAPIRO TO PAY SEC FINE OF $120 MILLION IN PONZI SCHEME
According to court documents, Robert Shapiro, the former CEO of [...]
AMI FORTE OUT AT PINNACLE INVESTMENTS AFTER FINRA WIDENS ITS NET
Ami Forte, once a star Morgan Stanley advisor with over [...]
CETERA ADVISORS, LLC ORDERED TO REPAY CLIENT LOSSES IN RISKY REIT INVESTMENTS
A Financial Industry Regulatory Authority (“FINRA”) arbitrator issued an Award [...]
LJMIX Investors May Bring Individual Claims
LJM Partners, out of Chicago, Illinois, saw massive losses to [...]
1 GLOBAL CAPITAL AND CARL RUDERMAN ACCUSED BY SEC OF MASSIVE NATIONWIDE FRAUD
The Securities and Exchange Commission has filed a Complaint seeking [...]
LJM Partners Investors Aim to Recover Massive Losses
LJM Partners LJM Partners, out of Chicago, Illinois, [...]
EB-5 IMMIGRANT INVESTOR PROGRAM FRAUD CLAIMS ON THE RISE
Throughout 2018, immigration law and border enforcement have made front [...]
WOODBRIDGE GROUP SELLERS CHARGED BY SEC FOR MILLIONS IN UNAUTHORIZED SALES
SEC Charges Woodbridge Group The Securities and Exchange [...]