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Blog - Page 37

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December 1, 2017

J.P. Morgan Securities, LLC Fined $1.25 Million Over Failure to Appropriately Screen or Fingerprint Employees

J.P. Morgan Securities, LLC was recently fined $1.25 million by the Financial Industry Regulatory Authority (FINRA) for its failure to...
November 30, 2017

Meyer Wilson Investigates Claims of Broker Misconduct against Samuel Rankin

Meyer Wilson is looking into allegations of broker misconduct against broker Samuel Boyce Rankin (CRD# 811491). Rankin currently works with...
November 29, 2017

Merrill Lynch Broker James Lowther Accused of Unauthorized Trading

James Barton Lowther, a financial advisor currently with Merrill Lynch in Sarasota, Fla., is the subject of pending customer complaints,...
November 27, 2017

Unsuitable Energy Securities Endorsed by Jeffrey Randolph Wilson

Wells Fargo broker Jeffrey Randolph Wilson (CRD# 1161819) is the subject of a currently-pending customer dispute alleging that Wilson sold...
November 24, 2017

Is Your Broker Making You Broker?

Financial advisors sometimes give bad investment advice to promote their own self-interest. Focus on higher commissions and lack of investment...
November 23, 2017

Victor Dandridge Gets Jail Time for Bank and Wire Fraud

Former Thompson Davis & Company financial advisor Victor M. Dandridge III (CRD# 5884409) was convicted of bank and wire fraud...
November 22, 2017

Is Your Financial Advisor Committing Malpractice?

When a financial advisor's behavior falls below the accepted standard of practice in the financial services industry, he/she may be...
November 21, 2017

Unsuitable Recommendations for Purchasing Class B Shares

Negligent and unscrupulous brokers and financial advisors often make unsuitable recommendations for buying Class B shares of mutual funds to...
November 19, 2017

What Richard Cordray Leaving the Consumer Financial Protection Bureau Means for You

On the latest broadcast of “Cover Your Assets”, David Meyer covers Richard Cordray’s departure from the CFPB, variable annuity sales...
November 16, 2017

David Krumrey Terminated from Oppenheimer for Rule Violations

Texas-based financial advisor David Wayne Krumrey (CRD# 4121845) was terminated from the brokerage firm of Oppenheimer & Company relating to...
November 15, 2017

Ponzi Schemes Continue to Destroy the Financial Lives of Americans Every Day

Bernie Madoff was arrested for stealing $64.8 billion from investors in the single largest Ponzi scheme in United States history less than...
November 14, 2017

Former Florida Broker Lisa Lowi Barred for Unsuitable Recommendations

The Financial Industry Regulatory Authority (FINRA) permanently barred registered representative Lisa Lowi for failing to provide on-the-record testimony sought by...

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