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Websites & Blogs
- FINRA Suspends 15+ Representatives In October 2018
19 October 2018 - FINRA Bars 6 Representatives In October 2018
19 October 2018 - Customer Alleged Gary Pevey Recommended “High-risk and Fraudulent Investments”
17 October 2018 - Carl Cornaglia: Investor Seeks $1 Million in Damages in Complaint Against Kovack Rep
17 October 2018 - Jon Pariser: FINRA Bars Ex-Independent Financial Group Rep
17 October 2018 - John Woch: Ex-B. Riley Wealth Management Rep Terminated Over Alleged Trading Violations
16 October 2018 - Elvis Parkes: Investor Complaints Allege Unsuitable Recommendations, Unauthorized Trades
16 October 2018 - Gary Boyt: Investor Seeks $300,000 in Financial Exploitation Complaint
16 October 2018 - John Lisowski: Investor Seeks $382,000 in Complaint Against Stifel Nicolaus Rep
16 October 2018
- Securities America Sanctioned Over Variable Annuity Allegations, Fined $175,000
5 October 2018 - FINRA Sanctions BrokerBank Securities Over Alleged Supervisory Failures
5 October 2018 - Cadaret Grant & Company Sanctioned Over Alleged Supervisory Failures, Fined $800,000
5 October 2018 - Stifel Nicolaus and Company Sanctioned Over OTC Trading Allegations
5 October 2018 - Lincoln Investment Planning Sanctioned Over Variable Annuity Exchanges
5 October 2018 - SEC Announces Fraud Charges Against iFunding Co-Founders William Skelley and Sohin Shah
5 October 2018 - SEC Takes Action Against $345 Million Ponzi-like Scheme
5 October 2018 - Massachusetts Securities Divisions Launches Investigation Concerning GPB Private Placements
5 October 2018 - Former Salix Pharmaceuticals CFO to Pay $1 Million in SEC Settlement
5 October 2018
- Michael Bressman: SEC Charges Ex-FCG Broker With Fraud in “Cherry-Picking” Scheme
19 October 2018 - FINRA Suspends Investment Center’s Robert Krieger Over Outside Business Activity Allegations
18 October 2018 - Julian Marturano: Investor Complaints Against Woodbury Rep
18 October 2018 - Jeffrey Breault: Investors Seek $2 Million in Damages in REIT Complaint
18 October 2018 - Customer Alleged Lawrence Passaretti Did Not Notify Them of any Policy Lapse Resulting in Damages Upon the Policy’s Termination
18 October 2018 - Robert Gravette: Investor Seeks $100,000 in Private Placement Complaint
18 October 2018 - Luther Byrd: Investor Seeks $1.5 Million in Complaint Alleging Suitability, Unauthorized Trades
18 October 2018 - Sean Cavanaugh: Investor Seeks $800,000 in Elder Abuse Complaint Against Raymond James Rep
18 October 2018 - Paul Harp: Investor Seeks $1.5 Million in Complaint Against Merrill Lynch Rep
18 October 2018
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