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Geneos Wealth Management, a full-service broker-dealer headquartered in Centennial, Colorado, has faced regulatory action from both FINRA and the SEC...
Greg Lindberg, the owner of multinational conglomerate Eli Global LLC, was sentenced on May 26, 2026, to 12 years in...
Matthew Piercey, 49, of Palo Cedro, California, was sentenced to 30 years in federal prison on May 21, 2026, for...
Federal prosecutors in Oregon have charged Daejon Labrayae Love, 35, and Taylor Jamie Chan, 18, with conspiracy to commit wire...
Arete Wealth Advisors LLC and its affiliated broker-dealer, Arete Wealth Management LLC, are the subjects of a civil enforcement action...
The Stephen Meskan broker complaint filed in February 2026 alleges that the Chicago-based financial advisor engaged in fraud, misrepresentation, negligence,...
FINRA has censured and fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $175,000 for a near three-year failure to give...