FINRA Blog Posts

FINRA Suspends Curtis W. Smith: What Investors Need to Know

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FINRA suspends financial advisor Curtis W. Smith for misconduct. Learn what this means for investors and how to protect your accounts from similar risks.

by Richard FrankowskiFINRANovember 7 2025 Suspended Investment Advisor Muhammad R. Wahdy: What to Know

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Suspended Investment Advisor Muhammad R. Wahdy faced FINRA action for undisclosed business activities. Learn what happened and how to protect your investments.

by Richard FrankowskiFINRANovember 7 2025 FINRA Arbitration: A Guide for Americans in Australia

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Get clear, practical steps on FINRA arbitration for Americans in Australia, including filing tips, virtual hearings, and how to enforce your award abroad.

by Richard FrankowskiFINRASeptember 29 2025 FINRA Arbitration Rights for American Investors Overseas

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Learn about the rights of American investors overseas in FINRA arbitration, including key steps, common challenges, and how to protect your financial interests.

by Richard FrankowskiFINRASeptember 26 2025 J. Glaze: LPL Financial Broker FINRA Arbitration Claims

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Learn about FINRA arbitration claims against LPL Financial, LLC Broker J. Glaze, including investor allegations, settlements, and steps to recover losses.

by Richard FrankowskiFINRASeptember 9 2025 Joseph Cannon Barred: What Northwestern Mutual Investors Should Know

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Learn why Northwestern Mutual Investment Services, LLC Broker Joseph Cannon was barred by FINRA and what steps affected investors can take to recover losses.

by Richard FrankowskiFINRASeptember 3 2025 Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case

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In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a […]

by dmtasBlog, FINRA, investment fraud lawyer, Legal MattersJuly 3 2024 KEVIN MCCALLUM HIT WITH $4.8 MILLION CUSTOMER CLAIM INVOLVING MEDLEY CAPITAL STOCK

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Kevin McCallum, an Alabama-based stockbroker and financial advisor with Glacier Point Advisors, LLC, who was previously […]

by The Frankowski FirmFINRAFebruary 2 2021 FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST FORMER MADISON AVENUE SECURITIES BROKER DAVID L. BARBER

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The Frankowski Firm is investigating potential claims against FINRA-expelled broker David L. Barber, of San Diego, […]

by The Frankowski FirmFINRAMarch 8 2018 FINRA BARS FORMER MML INVESTORS SERVICES BROKER BRIAN MICHAEL TRAVERS FOR REFUSING TO COOPERATE WITH FINRA INVESTIGATION

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The Frankowski Firm is investigating potential claims against MML Investors Services, Inc., of Springfield, Massachusetts. The […]

by The Frankowski FirmFINRADecember 28 2017