SAFEGUARD METALS AND JEFFREY SANTULAN ACCUSED BY SEC OF ELDER FRAUD IN GOLD AND SILVER COIN SALES
The SEC has filed a complaint against Safeguard Metals LLC [...]
GERMAN NINO, UBS FINANCIAL ADVISER, ACCUSED OF ABUSING CLIENTS’ TRUST AND STEALING $5.8 MILLION
German Nino has been charged with stealing $5.8 million from [...]
HONEST WHISTLEBLOWERS RECEIVE $40 MILLION IN AWARDS FROM SEC
In January 2022, the Securities and Exchange Commission (SEC) announced [...]
BRIAN PEARCE SUSPENDED, FINED $5,000 ON FINDINGS HE VIOLATED FINRA RULES
Brian Pearce (#1334784) was suspended from acting as a FINRA [...]
CREDIT SUISSE SECURITIES FINED $9 MILLION FOR INVESTMENT OPERATIONAL FAILURES
Credit Suisse Securities has been fined $9 million by the [...]
DONNA JEAN HINES BARRED BY FINRA FOLLOWING BITCOIN SALE INVESTIGATION
Donna Jean Hines (CRD #4275524) was barred by FINRA from [...]
JEFFREY DAMPF BARRED BY FINRA AFTER INVESTIGATION INTO $1.5 MILLION ELDER THEFT SCANDAL
Jeffrey Dampf (CRD #5676205) was barred from association with FINRA [...]
WESTPARK CAPITAL AND RICHARD RAPPAPORT SANCTIONED, FINED $280,000, SUSPENDED, ON FINDINGS THEY MISLED INVESTORS, VIOLATED RULES
WestPark Capital, of Los Angeles California, and its CEO, Richard [...]
MERRILL LYNCH FINED $1.5 MILLION FOR SUPERVISORY FAILURES
Merrill Lynch has been fined $1.5 million by the Financial [...]
NYLIFE Securities Censured and Fined $200,000 for Supervisory Blunder
NYLIFE Securities LLC has been censured and fined by the [...]
KENNETH WELSH CHARGED WITH STEALING $3 MILLION
On October 28, 2021, the Securities and Exchange Commission (SEC) [...]
JOHN WOODS ALLEGEDLY STEALS $110 MILLION FROM ELDERLY INVESTORS
The SEC has filed an emergency action to stop an [...]
YELLOWSTONE CAPITAL PAYS $9.8 MILLION IN FTC SETTLEMENT
Yellowstone Capital, LLC was ordered to pay $9.8 million [...]
SEC CLAIMS MARTIN RUIZ STOLE $9.2 MILLION FROM ELDERLY CLIENTS
The SEC has obtained a court order to stop Santa [...]