Securities Law Violations Blog Posts

FINRA SANCTIONS FIFTH THIRD SECURITIES, INC. OVER VARIABLE ANNUITY EXCHANGES

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The Financial Industry Regulatory Authority (“FINRA”) has announced a fine of $4 million and required an […]

by Richard FrankowskiSECMay 8 2018 Demitrios Hallas Accused By SEC Of Selling Unsuitable Investments

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The SEC accused former broker Demitrios Hallas with trading leveraged Exchange Traded Funds (ETFs) and Exchange […]

by Richard FrankowskiSECApril 26 2017 Robert Tricarico Sentenced To 3.5 Years In Prison For Client Theft

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Robert Tricarico, a former LPL broker, pleaded guilty to stealing $1.2 million from a client by […]

by Richard FrankowskiFINRA, Fraud, SECApril 13 2017 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 FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017