FINRA Investigating Cross-Selling Programs
Following on the heels of the recent Wells Fargo scandal, [...]
Jamie Aguilar Terminated By Morgan Stanley
Jamie Aguilar was terminated by Morgan Stanley for alleged conduct [...]
Stuart Dickinson Barred By FINRA
Stuart Dickinson, a former WFG Investments broker, was banned from [...]
Richard S. Frankowski to Speak at the National Investor Town Hall Meeting in San Diego
This year’s National Investor Town Hall Meeting, hosted by the [...]
Mark Tauzin Suspended For Unsuitable Trading
FINRA suspended former LPL Financial broker Mark Tauzin for engaging in [...]
PIABA Issues Report On BrokerCheck’s Shortcomings
PIABA, the Public Investors Arbitration Bar [...]
Paul Lebel Barred By SEC For Churning
Paul Lebel, a broker formerly with LPL Financial from 2008 [...]
SEC Hits UDF With Wells Notice
The Frankowski Firm, LLC currently represents multiple investors who have [...]
Debra Ferrara Suspended For Fraudulent Wire Transfer
Debra Ferrara, a former client administrator at Morgan Stanley, was [...]
Gregory Bauer Barred By FINRA
FINRA barred former Waddell & Reed Inc. broker Gregory Bauer [...]
Jeffrey Howell Barred From Securities Industry
Jeffrey Howell, formerly a broker with UBS Group AG's wealth [...]
Sam Wyly Settles Federal Fraud Charges for $198.1M
Sam Wyly, an ex-Texas billionaire who has declared bankruptcy, will [...]
Wells Fargo Facing 401(k) Suit For Cross-Selling
Wells Fargo & Co. is facing more legal trouble after [...]
SEC Sets Record In Enforcement Actions Against Advisers
The SEC filed a record number of enforcement actions against [...]