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How Retail Investing Improves Corporate Governance and Benefits Society
30 Aug 2022, 9:05 pm by Sergio Alberto Gramitto Ricci and Christina M. Sautter
A 2020 FINRA-NORC study of new retail investors found that there has been an increase in the racial and ethnic diversity of new investors. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
First Allied Advisor Terry Anderson Terminated for Misconduct
30 Aug 2022, 10:09 am by Staff Attorney
According to records kept by FINRA, Mr. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Rodrigue Lors Has Multiple Customer Complaints
30 Aug 2022, 10:08 am by Staff Attorney
  Claims may be brought in securities arbitration before FINRA. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Advisor Jeffrey Miller Subject to Several Investor Disputes
29 Aug 2022, 6:49 am by Staff Attorney
  Claims may be brought in securities arbitration before FINRA. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Advisor Matthew Gaer Claimed to Have Provided Unsuitable Investment Advice
29 Aug 2022, 6:48 am by Staff Attorney
  Claims may be brought in securities arbitration before FINRA. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Woodbury Financial’s Daryl Serizawa Has Customer Complaints
28 Aug 2022, 9:45 am by Staff Attorney
  Claims may be brought in securities arbitration before FINRA. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Scott Reed Barred Over Pebblekick Investment Scheme – Investor Recovery Options
28 Aug 2022, 8:09 am by Staff Attorney
Reed has been subject to regulatory action by both FINRA and the State of Arizona. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Securities Industry Commentator by Bill Singer Esq
27 Aug 2022, 9:19 am
Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options (BrokeAndBroker.com Blog)Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light (BrokeAndBroker.com Blog)San Bernardino County Man Sentenced to 14 Years in Federal Prison for Multimillion-Dollar Investment Fraud and Cheating on His Taxes (DOJ Release)SEC Charges Florida Man for His Role in $196 Million Ponzi Scheme (DOJ Release)Arizona and California Men Sentenced for $20 Million Investment Fraud (DOJ… [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq
27 Aug 2022, 9:19 am
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light (BrokeAndBroker.com Blog)California Man Arrested for $7 Million Securities Fraud (DOJ Release)Caretaker of Senior Couple Sentenced for Stealing Hundreds of Thousands from Elderly Couple's Bank Accounts (DOJ Release)Latvian Individual Extradited for Securities Fraud and Wire Fraud in Cryptocurrency Scheme (DOJ Release)... [read post]
Broke and Broker - http://brokeandbroker.com/index.php
A Settlement Is Unsettling For FINRA's Board of Governors
27 Aug 2022, 9:19 am
There is gap between when FINRA knew or should have known of compliance deficiencies at one of its member firms and when FINRA settled its charges via an August 2022 AWC. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq
27 Aug 2022, 9:19 am
Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options (BrokeAndBroker.com Blog)Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light (BrokeAndBroker.com Blog)Arizona and California Men Sentenced for $20 Million Investment Fraud (DOJ Release)'Modern-day Bonnie and Clyde' admit to fraud charges related to pilfered mail, stolen funds / Defendant faces up to 30 years in prison (DOJ Release)Georgia Man Sentenced to Over 7 1/2 Years in Prison for… [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
27 Aug 2022, 9:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6635/securities-industry-commentator/Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options (BrokeAndBroker.com Blog)Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light (BrokeAndBroker.com Blog)US Department of Labor orders Wells Fargo to pay more than $22M for retaliating against executive that alleged financial… [read post]
Broke and Broker - http://brokeandbroker.com/index.php
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
27 Aug 2022, 9:19 am
There is a gap between when FINRA knew or should have kno... [read post]
Broke and Broker - http://brokeandbroker.com/index.php
JP Morgan Financial Advisors Stuffed Unsuitable Structured Products into Their Own Grandmother’s Account
26 Aug 2022, 1:20 pm by Stoltmann Law Offices
FINRA, the federal securities industry regulator, fined J.P. [read post]
Securities Fraud Attorneys Blog - https://blog.stoltmannlaw.com/
Kovack Securities Sanctioned for Supervisory Failures with Mutual Fund Trading 
25 Aug 2022, 10:59 am by The White Law Group
FINRA Censures and fines Kovack Securities in connection with Short-term Mutual Fund Trading  According to a Letter of Acceptance Waiver and Consent this week, the Financial Industry Regulatory Authority (FINRA) censured and fined Kovack Securities (CRD # 44848) $210,000 for supervisory failures. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Broker Byron Martinsen, Centaurus, Suspended after Allegations of Private Securities Transactions  
25 Aug 2022, 10:51 am by The White Law Group
FINRA Reportedly Suspends Byron Martinsen for 15 Months after Allegations   According to public records on August 19, 2022, the Financial Industry Regulatory Authority (FINRA) reportedly suspended broker Byron Martinsen for 15 months. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Former Ameriprise Broker James Dunn Jr. Barred after Allegations of Misconduct 
25 Aug 2022, 8:41 am by The White Law Group
Update on Investigation: FINRA reportedly bars James Dunn after 22 Customer Complaints   According to public records, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor James William Dunn Jr. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FINRA Sanctions Capital Investment Group Inc. for Unsuitable GPB Sales    
25 Aug 2022, 8:32 am by The White Law Group
FINRA Censures and Fines Capital Investment Group Inc. for Unsuitable GPB Funds Sales     According to The Financial Industry Regulatory Authority (FINRA) on August 22, 2022, the regulator censured and fined Capital Investment Group Inc. $50,000 and ordered the firm to pay partial restitution of $64,800, plus interest. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Anthony (Tony) Liddle of Oshkosh Wisconsin Barred by FINRA for Loans from Customers
25 Aug 2022, 7:26 am by Greco & Greco, P.C.
Liddle agreed to the FINRA bar. [read post]
Virginia Securities Fraud Blog - https://www.grecogrecolaw.com/blog/
MLS Fined for Failure to Supervise Broker Charles Evan after VA Fraud Allegations  
24 Aug 2022, 9:38 am by The White Law Group
   To learn more, please see: FINRA Reportedly Bars Advisor Charles J. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/