FINRA Bars Broker Over Private Securities Transactions
Former broker Brian Smit entered a Letter of Acceptance, Waiver, [...]
Nebraska Advisor Accused of $1M Fraud, Commits Suicide
Jerome "Joe" Bonnett, a longtime financial advisor from Omaha, Nebraska [...]
FINRA Bars Broker For Borrowing Client Funds
FINRA has barred Christopher Tolmacs of Portage, Michigan, alleging that the [...]
Oppenheimer & Co. To Pay $2.9M For ETF Sales
FINRA fined Oppenheimer & Co. Inc. $2.25 million and ordered [...]
Variable Annuities The Subject Of High Scrutiny
Recently, two FINRA enforcement officials emphasized at an insurance industry [...]
Wells Fargo Broker Banned By FINRA
Former Wells Fargo broker John Christopher Pierce agreed to [...]
Fidelity Sued For Alleged Fiduciary Breach
Participants in a Delta Air Lines Inc. 401(k) plan have [...]
Alabama Man Sentenced For Securities Fraud
Keith Michael Rogers of Huntsville, Alabama was sentenced by Madison [...]
UDF IV Defaults On $35M Loan
United Development Funding IV (UDF IV), a Texas Real Estate [...]
NBA/NFL Players Win $819k FINRA Award
Two former professional athletes, one from the National Basketball Association [...]
FINRA Bars Broker For Borrowing Client Funds
FINRA has barred broker Christopher Burtraw of Lakewood, Colorado, alleging [...]
FL Broker Charged With $131M Scam
Pranav Patel, a stockbroker from Tamarac, Florida, has been charged [...]
Promoter Pleads Guilty To Pump-And-Dump Scheme
Greg Mulholland, a penny-stock promoter, pleaded guilty to conspiring to [...]
FINRA Bars Broker Miguel Hernandez
FINRA barred Miguel Hernandez from the securities industry after [...]