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Blog - Page 51

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June 29, 2018

Securities America Broker Hector May Fired Amidst Allegations He Stole From Clients

Former Securities America broker Hector May was fired from Securities America shortly after the U.S. Department of Justice launched an...
June 28, 2018

Did Your Broker Engage in Unsuitable Options Trading on Your Behalf?

Although options can add flexibility to a client's portfolio, clients are often enticed into unsuitable options trading with high risks,...
June 27, 2018

FINRA Proposing a Wider Net to Capture Churning Brokers

On April 20, the Financial Industry Regulatory Authority (FINRA) proposed a new rule that expands the liability of churning practices....
June 25, 2018

Merrill Lynch, Pierce, Fenner & Smith Inc. Fined $42 Million for Misleading Customers

The Securities and Exchange Commission (SEC) recently announced that Merrill Lynch has agreed to pay $42 million for misleading its...
June 22, 2018

Former Ohio Stockbroker Thomas E. Brenner, Jr., Accused of Participating in Nationwide Ponzi Scheme

Thomas Edward Brenner, Jr., who at one point worked out of a brokerage firm office in Orrville, Ohio, has been...
June 21, 2018

Merrill Lynch, Pierce, Fenner & Smith Inc. To Pay $15.7 Million in Penalties and to Clients

The Securities and Exchange Commission (SEC) recently announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. more than...
June 21, 2018

An Awful Example of 401k Fraud: Ohio Business Executive Convicted for Embezzlement, Failure to Pay Over Taxes

C. David Snyder, the former chief executive officer, president, and chairman of Attevo, Inc. was recently convicted on five counts...
June 20, 2018

Selling Investors Woodbridge Mortgage Investment Funds Gets Ny Life Securities Broker Joel Flaningan Terminated

Former NY Life Securities broker Joel Flaningan was recently terminated from his position for allegedly soliciting the firm's clients to...
June 19, 2018

Former Northwestern Mutual Investment Services Broker Donnell Noah Bowen Barred After Failing to Cooperate With an Investigation

Former Northwestern Mutual Investment Services broker Donnell Noah Bowen was recently barred from acting as a broker when he failed...
June 19, 2018

Former Wells Fargo Broker John Schmidt Accused of Misappropriation, Theft of Client Funds

FINRA has barred former Wells Fargo broker John Schmidt after he failed to respond to its investigation regarding accusations of...
June 18, 2018

Meyer Wilson Werning Is Investigating Ameriprise Financial Services Broker James Kujawski for Allegations of Misconduct

Ameriprise Financial Services broker James Kujawski is under investigation by FINRA for allegations that he participated in private securities transactions...
June 18, 2018

Larry S. Werbel Barred by SEC Over Adviser, Securities Fraud

The Securities and Exchange Commission (SEC) recently barred former New Jersey investment adviser Larry S. Werbel after he pled guilty...

Larry S. Werbel Barred by SEC Over Adviser, Securities Fraud Securities Blogs:

Stifel Nicolaus Faces $2.3 Million Fine Over Exchange-Traded Products Supervision Failures

Exchange-traded products (ETPs) are under the spotlight once again as Stifel, Nicolaus & Co. has been fined $2.3 million for...

What Is Cherry Picking?

Cherry-picking is a deceitful practice in which investment advisers or brokers allocate profitable trades to themselves or favored clients and...

William Shane Garrow Pleads Guilty to $4.2 Million Scheme

The case of William Shane Garrow—a former Senior Vice President at the Bank of Oklahoma—demonstrates the severe consequences when financial...

Robinhood Fined $45 Million by the SEC for Compliance and Cybersecurity Failures

Robinhood has been fined $45 million by the Securities and Exchange Commission (SEC), drawing attention to the increasing regulatory scrutiny...

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