Press Releases & News Blog Posts

Craig David Dima Barred By FINRA

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Craig David Dima, an ex-registered representative with K.C. Ward Financial in Ronkonkoma, New York, was barred […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsMarch 2 2017 Hamilton Ticket Resale Ponzi Scheme Investor Sues

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Adam Blank, an investor in the alleged $81 million Ponzi scheme pertaining to the buying and […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 8 2017 SEC: Meyers Associates, L.P. Ignored Pump-And-Dump Scheme

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The SEC announced administrative proceedings against John D. Telfer, who worked for Meyers Associates, L.P. as […]

by Richard FrankowskiFraud, Legal Matters, Press Releases & News, SECFebruary 2 2017 Dwayne Edwards Accused Of Fraud By SEC

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The SEC charged Dwayne Edwards with fraud and obtained an emergency asset freeze against the South […]

by Richard FrankowskiFraud, Legal Matters, Press Releases & News, SECFebruary 1 2017 Citigroup Advisory Unit Fined $18.3M

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Citigroup will pay $18.3 million to settle charges made by the SEC claiming that it overcharged […]

by Richard FrankowskiPress Releases & News, SECJanuary 31 2017 Michael J. Breton Banned For Cherry Picking Trades

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Michael J. Breton, a Massachusetts investment adviser who the SEC accused of securities fraud, has agreed […]

by Richard FrankowskiFraud, Legal Matters, Press Releases & News, SECJanuary 26 2017 Buffer Annuities: Why Regulators Are Seeing Complaints

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Regulators are beginning to shift their attention toward buffer annuities, a new kind of variable annuity. […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsJanuary 25 2017 FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Charles Schwab Sued Over Own 401(k) Plan

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A participant in the Charles Schwab Corp. 401(k) plan has sued the plan and corporate executives, […]

by Richard FrankowskiLegal Matters, Press Releases & NewsJanuary 23 2017 Henry Al Dean Watson Barred By FINRA

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by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsJanuary 19 2017