FINRA Suspends Curtis W. Smith: What Investors Need to Know
FINRA suspends financial advisor Curtis W. Smith for misconduct. Learn what this means for investors and how to protect your accounts from similar risks.
Suspended Investment Advisor Muhammad R. Wahdy: What to Know
Suspended Investment Advisor Muhammad R. Wahdy faced FINRA action for undisclosed business activities. Learn what happened and how to protect your investments.
FINRA Arbitration: A Guide for Americans in Australia
Get clear, practical steps on FINRA arbitration for Americans in Australia, including filing tips, virtual hearings, and how to enforce your award abroad.
FINRA Arbitration Rights for American Investors Overseas
Learn about the rights of American investors overseas in FINRA arbitration, including key steps, common challenges, and how to protect your financial interests.
J. Glaze: LPL Financial Broker FINRA Arbitration Claims
Learn about FINRA arbitration claims against LPL Financial, LLC Broker J. Glaze, including investor allegations, settlements, and steps to recover losses.
Joseph Cannon Barred: What Northwestern Mutual Investors Should Know
Learn why Northwestern Mutual Investment Services, LLC Broker Joseph Cannon was barred by FINRA and what steps affected investors can take to recover losses.
Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case
In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a whopping fine of $500,000 on Oppenheimer & Co. for failing to properly supervise certain trades. As reported, Oppenheimer’s brokers are under target for directly placing trades with fund companies on behalf of customers without requisite inspection bringing the supervisory […]
KEVIN MCCALLUM HIT WITH $4.8 MILLION CUSTOMER CLAIM INVOLVING MEDLEY CAPITAL STOCK
Kevin McCallum, an Alabama-based stockbroker and financial advisor with Glacier Point Advisors, LLC, who was previously registered with LPL Financial, LLC and NBC Securities, Inc., has disclosed a $4.8 million arbitration claim filed by his customers related to their investment in Medley Capital Corporation. According to the customers’ complaint, McCallum exercised discretionary trading authority in […]
FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST FORMER MADISON AVENUE SECURITIES BROKER DAVID L. BARBER
The Frankowski Firm is investigating potential claims against FINRA-expelled broker David L. Barber, of San Diego, California, following Mr. Barber’s expulsion from the securities industry due to his failure to cooperate with a FINRA investigation into allegations that he engaged in unauthorized trading in to the accounts of Madison Avenue customers, exercised discretion in customer […]
FINRA BARS FORMER MML INVESTORS SERVICES BROKER BRIAN MICHAEL TRAVERS FOR REFUSING TO COOPERATE WITH FINRA INVESTIGATION
The Frankowski Firm is investigating potential claims against MML Investors Services, Inc., of Springfield, Massachusetts. The firm has been the subject of ten regulatory actions within the past ten years, not including this month’s FINRA permanent bar of former MML broker Brian Michael Travers of Long Island, New York for failing to cooperate with FINRA’s […]