Electronic Transaction Clearing, Inc. (CRD #146122) was censured and fined $75,000 by FINRA for reporting and supervision failures

Furgison Law Group investigates claims against Electronic Transaction Clearing, Inc.

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Electronic Transaction Clearing, Inc. (CRD #146122). The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

FINRA fines Electronic Transaction Clearing, Inc. $75,000

The findings also stated that the firm’s supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to the applicable securities laws and regulations and FINRA rules. 

Investors Have the Right to Recover Their Losses

When investments are sold by brokerage firms licensed by FINRA, they are subject to the laws that FINRA enforces. The brokerage firms are responsible for ensuring that their brokers are trading fairly, ethically and in the best interest of their clients. Ideally, they would accomplish this through careful supervision. Unfortunately, too often this supervision has been inadequate to fully protect investors. If you purchased any investments through a representative of a registered brokerage firm and suffered loses through negligence or fraud, it immediately puts the brokerage firm at fault for failing to supervise their broker. FINRA law then dictates that you can hold the firm legally liable to recover your damages.

Can I recover my investment losses?

If you lost a substantial portion of your retirement savings or other assets as a result of investments purchased through Electronic Transaction Clearing, Inc., please contact us immediately. Our investment fraud lawyers have recovered millions of dollars from the largest banks, insurance companies and brokerage firms in the world on behalf of investment fraud victims. You may have certain legal rights that require your immediate attention. Time is of the essence in these claims. The sooner you act, the greater your chances of recovering your investment losses. Don't wait. Contact us TODAY for a FREE Consultation and case evaluation. We will tell you if you have a viable claim worth pursuing.

Equinox Securities, Inc., was expelled from FINRA membership and Michael Oliveira was fined $25,000 and barred for one year.

Equinox Securities, Inc., was expelled from FINRA membership and Michael Oliveira was fined $25,000 and barred for one year.

Equinox Securities, Inc. (CRD #145790, Redlands, California) and Stephen Michael Oliveira (CRD #1880054, Phelan, California) submitted an Offer of Settlement in which the firm was expelled from FINRA membership; and Oliveira was fined $25,000, barred from association with any FINRA member in any principal capacity and suspended from association with any FINRA member in any capacity for one year. 

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The securities fraud lawyers at Furgison Law Group are currently investigating claims against Ridgeway & Conger, Inc., Kenley Brisard, Philip Brisard and Leigh McCobb. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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The securities fraud lawyers at Furgison Law Group are currently investigating claims against Michael Bruce Winegar and Wedbush Securities, Inc. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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The securities fraud lawyers at Furgison Law Group are currently investigating claims against Fred Leander White, Jr., and Country Capital Management Company. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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The securities fraud lawyers at Furgison Law Group are currently investigating claims against Kevin Donald Wanner, Questar Capital Corporation and Woodbury Financial Services, Inc. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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FINRA assessed Jason Daniel Sayles a deferred fine of $15,000 and suspended him for 10 months.

FINRA assessed Jason Daniel Sayles a deferred fine of $15,000 and suspended him for 10 months.

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Jason Daniel Sayles, NFP Securities, Inc., and Cetera Financial Specialists, LLC. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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FINRA assessed Robert Joseph Regan a deferred fine of $5,000 and suspended him for 60 days

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The securities fraud lawyers at Furgison Law Group are currently investigating claims against Robert Joseph Regan and NFP Advisors, LLC. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

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