CITADEL SECURITIES SANCTIONED $700,000 FOR REMOVAL OF CUSTOMER ORDERS
Citadel Securities established an Over-the-Counter equity trading desk in November [...]
JASON K. WILLIAMS HIT WITH $45,000 FINRA ARBITRATION AWARD OVER UNSUITABLE AND OVER-CONCENTRATED INVESTMENTS.
On September 22, 2020, an arbitration panel for the Financial [...]
JP MORGAN CHASE FINED $920 MILLION FOR “SPOOFING” MARKETS
It was announced on September 29 that JPMorgan Chase agreed [...]
SIERRA INCOME MERGER TERMINATION CAUSING INVESTMENT LOSS
The Frankowski Firm is investigating potential claims related to investor [...]
SANDLAPPER SECURITIES EXPELLED AND TOP OFFICERS BARRED
The Financial Industry Regulatory Authority (FINRA) has expelled Sandlapper Securities, LLC, from [...]
INTERACTIVE BROKERS HIT WITH $38 MILLION IN PENALTIES FOR REPEATEDLY FAILING TO FILE SUSPICIOUS ACTIVITY REPORTS
The Securities and Exchange Commission, the Financial Industry Regulatory Authority [...]
SAGEPOINT FINANCIAL FINED FOR FAILING TO SUPERVISE EARLY ROLLOVERS OF UNIT INVESTMENT TRUSTS
The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned [...]
MERRILL LYNCH UNDER INVESTIGATION IN NEW HAMPSHIRE FOLLOWING CUSTOMER COMPLAINTS
New Hampshire’s Bureau of Securities Regulation is investigating Merrill Lynch [...]
FREDERICK STOW, FORMER RAYMOND JAMES V.P., CHARGED WITH STEALING OVER $900,000 FROM ELDERLY CLIENTS
The United States Attorney’s Office for the Middle District of [...]
SEC INVESTIGATING POTENTIAL WRONGDOING AT PROFESSIONAL FINANCIAL INVESTORS, INC., PROFESSIONAL INVESTORS SECURITIES FUND, INC.
The U.S. Securities and Exchange Commission is investigating two Marin [...]
NORTHWESTERN MUTUAL FINED $350,000 AND CENSURED FOR SUPERVISORY FAILURES
Northwestern Mutual Investment Services, LLC, headquartered in Milwaukee, Wisconsin, has [...]
BLOCK.ONE CLASS MEMBERS MAY OPT OUT OF THE CLASS ACTION TO PURSUE INDIVIDUAL CLAIMS
Last month, investors filed a class action suit against blockchain [...]
JESSE GIL, III BARRED BY FINRA ON ALLEGATIONS OF UNAUTHORIZED USE OF ELDERLY CUSTOMER’S FUNDS
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Corpus [...]
LOUIS COOK BARRED BY FINRA ON FINDINGS OF FRAUD, THEFT
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Staten [...]