DEE DEE BROOKS BARRED FOR SOLICITING OVER $1.7 MILLION IN UNAPPROVED TRANSACTIONS
The Financial Industry Regulatory Authority (“FINRA”) has barred Dee Dee [...]
APEX CLEARING CORPORATION FINED $250,000 FOR FAILING TO CONFIRM CUSTOMER RECEIPT OF INTEREST RATE DISCLOSURES
The Financial Industry Regulatory Authority (“FINRA”) has censured and fined [...]
ERIK PICA BARRED BY FINRA FOR TAKING AN ELDERLY CLIENT’S MONEY AND BUYING A HOUSE
The Financial Industry Regulatory Authority (“FINRA”) has barred Joseph Stone [...]
TWO SIGMA SECURITIES, LLC FINED $225,000 FOR VIOLATING LOCATE REQUIREMENT
Recent Financial Industry Regulatory Authority ("FINRA") findings reveal that Two [...]
BNP PARIBAS SECURITIES CORPORATION FINED $650,000 FOR FAILED CREDIT AND ORDER CONTROLS
BNP Paribas Securities Corporation was recently fined for failing to [...]
MOORS & CABOT, INC. FINED $250,000 FOR ERRONEOUS ORDER REPORTS AND PROCEDURES
Moors & Cabot, Inc. has been fined by the Financial [...]
LOST MONEY INVESTING THROUGH ROBINHOOD? LEARN YOUR OPTIONS FOR RECOVERY WITH THE FRANKOWSKI FIRM
According to the Consumer Financial Protection Bureau’s (CFPB) Consumer Complaint [...]
KIMBERLEE LEVY & CONCORDE INVESTMENT SERVICES, LLC FINED $300,000 FOR ALLOWING SUSPENDED BROKER TO INTERFERE WITH TRANSACTIONS
Concorde Investment Services, LLC and its Chief Compliance Officer, Kimberlee [...]
LEK SECURITIES CORPORATION FINED AND SUSPENDED FOR IMPROPER MICROCAP SECURITIES TRADING
Lek Securities Corporation was recently found by the Financial Industry [...]
FRANKOWSKI FIRM INVESTIGATING LOSSES IN NEW YORK CITY REIT, INC.
The value of New York City REIT, Inc. has tanked [...]
TROY BAILY, FORMERLY OF SAGEPOINT FINANCIAL INC., SUSPENDED AND FINED BY FINRA FOR TRADING WITHOUT WRITTEN APPROVAL
On October 19, 2020, the Financial Industry Regulatory Authority fined [...]
MORGAN STANLEY SANCTIONED $949,000 FOR UNSUITABLE SHORT-TERM TRADING OF CORPORATE BONDS
Morgan Stanley Smith Barney LLC was recently sanctioned for failing [...]
SAGEPOINT FINANCIAL FOUND TO HAVE COST CUSTOMERS $1.3 MILLION IN AVOIDABLE SALES CHARGES
From January 2013 through December 2017, SagePoint Financial Inc. failed [...]
NEWPORT COAST SECURITIES, INC. EXPELLED AND FINED FOR CHURNING AND TRADING CUSTOMER ACCOUNTS
Newport Coast Securities, Inc. was recently expelled from FINRA membership [...]