https://theinvestmentattorneys.com/investment-fraud-blog daily 0.75 2020-08-24 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1437799221523-UEYYOTW622MRLSCQL803/Blog+laptop.jpg Blog https://theinvestmentattorneys.com/investment-fraud-blog/2025/04/17/jim-davidson monthly 0.5 2025-04-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573158234825-286J2BFPRDJR4MULL618/Jeff+Cohen+GPB Blog - Investor Alert: FLG is investigating claims against Jim Davidson and Prevision Capital Strategies for sale of financed life insurance investments https://theinvestmentattorneys.com/investment-fraud-blog/2024/10/29/julian-movsesian monthly 0.5 2024-10-29 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573158234825-286J2BFPRDJR4MULL618/Jeff+Cohen+GPB Blog - Investor Alert: FLG is investigating claims against Succession Capital for life insurance premium financing sold by Julian Movsevian https://theinvestmentattorneys.com/investment-fraud-blog/2024/10/24/gustavo/miramontes monthly 0.5 2024-10-24 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573158234825-286J2BFPRDJR4MULL618/Jeff+Cohen+GPB Blog - Investor Alert: FLG is investigating claims against Gustavo Santos Miramontes for unauthorized trading https://theinvestmentattorneys.com/investment-fraud-blog/2024/08/13/b-riley monthly 0.5 2024-08-13 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573158234825-286J2BFPRDJR4MULL618/Jeff+Cohen+GPB Blog - Investor Alert: Have You Been Burned by B. Riley? We Can Help. https://theinvestmentattorneys.com/investment-fraud-blog/2023/11/10/cynthiacouyoumjian monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573158234825-286J2BFPRDJR4MULL618/Jeff+Cohen+GPB Blog - Investor Alert: FLG is investigating claims against IFG for unsuitable investments sold by Cindy Couyoumjian https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/western-international-securities-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597047043994-YOI4ZHRNJ7B056WOD2MV/1.jpg Blog - Investor Alert: Western International Securities, Inc. was censured and fined $325,000 for failing to timely amend the Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/irene-padrick-engard monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597047468998-JWD767ZMLUTEU2N889U5/2.jpg Blog - Investor Alert: Irene Padrick Engard was barred for refusing to produce documents https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/julie-reyes monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597047824759-ULHO14SOQG4A3BH4CU1J/3.jpg Blog - Investor Alert: Julie Reyes was suspended and fined $5,000 for opening and maintaining a personal brokerage account https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/adrienne-jaime-mak monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597048337714-HFOC7980ONFI3JEBYRET/4.jpg Blog - Investor Alert: Adrienne Jaime Mak was named in a complaint for failing to respond to FINRA’s requests https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/daniel-conor-mcdermott monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597048917181-5WXQXPIF7D378O2VU36Q/5.jpg Blog - Investor Alert: Daniel Conor McDermott was censured and fined $10,000 for failing to maintain books and records https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/morgan-stanley-co-llc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597049428402-8H9UHTDQBB99E5P7RXL6/6.jpg Blog - Investor Alert: Morgan Stanley & Co. LLC was censured and fined $120,000 for failing to report to FINRA new issue offerings https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/moloney-securities-co-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597049898107-SVJARNP5IMB07CC85FJT/7.jpg Blog - Investor Alert: Moloney Securities Co., Inc. was censured and fined $100,000 for failing to establish and maintain a supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/bbt-securities-llc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597050074703-XJ7JBCC0CX660MGHM7AG/8.jpg Blog - Investor Alert: BB&T Securities, LLC was censured and fined $47,500 failing to submit accurate minimum denomination and maximum interest rate https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/merrill-lynch-pierce-fenner-smith-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597050252379-QGQ1DA5RM2J3F5DBXMFM/9.jpg Blog - Investor Alert: Merrill Lynch, Pierce, Fenner & Smith Inc. was censured and fined $150,000 for allowing an individual who was an executive with its non-FINRA member to function https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/-lime-brokerage-llc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597050491292-5TW7FIZHHBRZZ88MBECL/10.jpg Blog - Investor Alert: Lime Brokerage LLC was censured and fined $100,000 for overstating its executed trade volume advertised through Bloomberg https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/vectorglobal-wpg-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597052202771-AMYYOM4GLF0M49MFNQZF/11.jpg Blog - Investor Alert: VectorGlobal WPG, Inc was censured and fined $17,500 for reporting customer transactions to TRACE as agent https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/coda-markets-inc-fka-pdq-ats-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597053082888-LTR75SX8EC4JP6AXB07K/12.jpg Blog - Investor Alert: CODA Markets, Inc. fka PDQ ATS, Inc. was censured and fined $125,000 for publishing inaccurate data in monthly reports https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/suntrust-investment-services-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597053578709-5ZRW1HPXL6RZKBC7A685/13.jpg Blog - Investor Alert: SunTrust Investment Services, Inc. was censured and fined $50,000 for failing to establish, maintain and enforce a supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/ustocktrade-securities-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597053787159-U5RVQXLNR6XA3U5SY6WL/14.jpg Blog - Investor Alert: Ustocktrade Securities, Inc. was censured and fined $15,000 for failing to maintain adequate balances https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/santander-investment-securities-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597054531136-IEBPUZXX72QY9AMKRC7L/15.jpg Blog - Investor Alert: Santander Investment Securities Inc. was censured and fined $30,000 for failing to reasonably supervise its credit trading desk https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/axiom-capital-management-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597054748195-HGSY6D4V1QTX57XLBE5Z/16.jpg Blog - Investor Alert: Axiom Capital Management, Inc. was censured and fined $37,500 for allowing investor funds to be escrowed in an account https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/thomas-maroun-hakim monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597054987792-SRQRL60DE1Y0M8OI5SRD/17.jpg Blog - Investor Alert: Thomas Maroun Hakim was barred for failing to provide information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/bryce-patrick-jenney monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597055836748-4PX9W4CDC4UI2WP0S8XH/19.jpg Blog - Investor Alert: Bryce Patrick Jenney was barred for failing to produce documents and to appear requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/arthur-stewart-hoffman monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597056051914-Z7YPXTJNYSM812PFFUFN/20.jpg Blog - Investor Alert: Arthur Stewart Hoffman was barred for failing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/timothy-bernard-cooney monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597056439909-IJFB7B7HWANON3CWZDFV/22.jpg Blog - Investor Alert: Timothy Bernard Cooney was barred for failing to produce documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/dennis-james-murphy monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597057795230-7QKL6IBUOIYAUZ0TEX5M/23.jpg Blog - Investor Alert: Dennis James Murphy was barred for refusing to provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/leonard-charles-kinsman monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597058061587-9FPGMFUO9HCT1291BFA0/24.jpg Blog - Investor Alert: Leonard Charles Kinsman was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/martin-joseph-noonan-jr monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597058413591-WGSXJZJ8QXXGWVRYZH1G/25.jpg Blog - Investor Alert: Martin Joseph Noonan Jr. was barred for refusing to produce information or documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/john-grifonetti monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597058744032-GA786YL1EI3UR18RFCF4/28.jpg Blog - Investor Alert: John Grifonetti was barred, suspended and fined $75,000 for failing to establish and maintain a reasonably designed supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/douglas-arthur-sanzone monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597059384829-13HOTZRHP4B383WAHSHW/29.jpg Blog - Investor Alert: Douglas Arthur Sanzone was barred for failing to establish and maintain a reasonably designed supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/brian-joseph-harte monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597059719659-DDHO6R2HEVZV9YVOX8ND/30.jpg Blog - Investor Alert: Brian Joseph Harte was suspended for exercising discretion in customer accounts https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/michael-b-mountjoy monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597059982895-EGL8W48XWWRF59V3VVJQ/31.jpg Blog - Investor Alert: Michael B. Mountjoy was suspended for participating in private securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/james-anthony-parrelly monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597060266906-41J11CSPV4SKAYUH77W3/32.jpg Blog - Investor Alert: James Anthony Parrelly was suspended and fined $5,000 for executing discretionary transactions in the securities account of a customer https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/spencer-william-sullivant monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597060613698-BB3DWGNGDRAU9H1J4OAP/33.jpg Blog - Investor Alert: Spencer William Sullivant was suspended and fined $5,000 for he did study materials for the exam in his testing center’s restroom https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/donald-stephen-woods monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597060918685-WCJUEBXQ837N6CAWX8MZ/35.jpg Blog - Investor Alert: Donald Stephen Woods was suspended and fined $10,000 for submitting applications to purchase real estate investment trusts https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/sune-gaulsh monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597061345112-KYSAR8WAX46M5BFVROYW/36.jpg Blog - Investor Alert: Sune Gaulsh was suspended and fined $10,000 for sending or attempting to send to himself through a personal email address confidential documents https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/robert-gene-nordaune monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597061650301-OR4IQZXVL6U013XA8QVG/37.jpg Blog - Investor Alert: Robert Gene Nordaune was suspended and fined $5,000 for falsifying a document by signing a recently widowed customer’s name https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/jason-nicholas-dukas monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597062014356-F8I2NI41KL7ZWE7SL7LA/38.jpg Blog - Investor Alert: Jason Nicholas Dukas was suspended and fined $15,000 for participating in a private securities transaction involving a customer https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/benjamin-r-leitman monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597062227577-TA3HJ6BVHOT9F6BM8MX5/39.jpg Blog - Investor Alert: Benjamin R. Leitman was suspended and fined $5,000 for falsely signing customer names on account documents https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/brandon-rolle monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597062430039-CITN4FQPLV5WRW2CENRW/40.jpg Blog - Investor Alert: Brandon Rolle was suspended and fined $5,000 for sending himself emails using a personal email account with documents attached https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/christopher-m-roumayeh monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597062728616-H0EV1NNRLVRF1DV0KVP3/41.jpg Blog - Investor Alert: Christopher M. Roumayeh was suspended and fined $15,000 for engaging in outside business activities without providing prior written notice https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/michelle-lynn-gill monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597063054784-FIIWM6V2W7FQAXTY0ZQF/42.jpg Blog - Investor Alert: Michelle Lynn Gill was suspended and fined $5,000 for participating in private securities transactions without providing written notice https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/robert-nicholas-korzik monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597063356219-B8X398P3NOO84XM4Q10E/43.jpg Blog - Investor Alert: Robert Nicholas Korzik was suspended and fined $8,500 for participating in and solicited customers of his member firm to invest https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/sachin-kumar monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597063635632-BRV8E9BO1TD79C5PQJ8A/44.jpg Blog - Investor Alert: Sachin Kumar was suspended and fined $5,000 for directing a customer to sign a blank automated customer account transfer https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/paul-gary-liebman monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597064058020-9PS32SIWUF3VGTKSTSFZ/45.jpg Blog - Investor Alert: Paul Gary Liebman was suspended and fined $5,000 for borrowing approximately $16,000 from a customer https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/courtney-james-burn monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597064363441-ITVNZFOEZXLC95SA0EKC/47.jpg Blog - Investor Alert: Courtney James Burn was suspended and fined $5,000 for providing standardized monthly-consolidated account reports to customers https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/thomas-john-lykos-jr monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597064684858-85IKWGKAL4Q3GGHKV0U6/48.jpg Blog - Investor Alert: Thomas John Lykos Jr. was barred for acting unethically by cheating during a Series 24 General Securities Principal qualification examination https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/steven-robert-luftschein monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597064950961-1UE4FQNRPT727IT81K3N/49.jpg Blog - Investor Alert: Steven Robert Luftschein was named in a complaint for controlling the volume and frequency of trading in the customers’ accounts https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/joseph-john-weinrich-sr monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597065312003-QI6P4RWQG3BK1LRVEHP8/50.jpg Blog - Investor Alert: Joseph John Weinrich Sr. was named in a complaint for failing to timely amend his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/08-08-2020/mark-harris-elenowitz monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1597065542669-AA1EYHUBD4GDSR1IL84U/1.jpg Blog - Investor Alert: Mark Harris Elenowitz was named in a complaint for failing to conduct reasonable diligence on the offerings https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/electronic-transaction-clearing-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598263637015-VRXZXK1Q50AVKJQBCCA7/2.jpg Blog - Investor Alert: Electronic Transaction Clearing, Inc. was censured and fined $450,000 for failing to satisfy its customer protection requirements https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/westpark-capital-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598263908918-BLK0YWMS0FTJE4QUHOK7/3.jpg Blog - Investor Alert: WestPark Capital, Inc. was censured and fined $30,000 for reporting ROEs with inaccurate reporting exception codes https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/dee-dee-brooks monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598264155085-XJAGYJN1GUD8RWBQ6VO9/4.jpg Blog - Investor Alert: Dee Dee Brooks was barred for engaging in private securities transactions without providing prior notice https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/donald-george-padilla monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598264400882-Z7HBR557IO91HMFCIZLK/5.jpg Blog - Investor Alert: Donald George Padilla was fined $10,000 and suspended for setting up and used unapproved email accounts to correspond https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/barry-john-hartwyk monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598264608154-4YIMV8DT4TKEC4UXQSWR/5.jpg Blog - Investor Alert: Barry John Hartwyk was fined $5,000 and suspended for exercising discretion in customer accounts without written authorization https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/newport-coast-securities-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598264965626-M25F1WAHJZ7DPDFRC4YZ/7.jpg Blog - Investor Alert: Newport Coast Securities, Inc. was expelled and fined $403,000 for exercising de facto control over the customer accounts https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/mizuho-securities-usa-llc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598265247900-6GPNMQUKNX0Q5SQSUJJZ/8.jpg Blog - Investor Alert: Mizuho Securities USA LLC was censured and fined $150,000 for overstating its trading volume in numerous securities https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/cantor-fitzgerald-co monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598265483081-OMJFOER3YULEFKV9Y16S/9.jpg Blog - Investor Alert: Cantor Fitzgerald & Co. was censured and fined $85,000 for failing to immediately execute limit orders in OTC https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/-tpeg-securities-llc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598265703289-N6W0TRN3USIUT5M2K42X/10.jpg Blog - Investor Alert: TPEG Securities, LLC was censured and fined $25,000 for engaging in private placement offerings https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/sagepoint-financial-incdee-dee-brooks monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598265972281-R564KN0OA0WJASTAGQMI/11.jpg Blog - Investor Alert: SagePoint Financial, Inc. was censured and fined $300,000 for failing to establish and maintain a supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/two-sigma-securities-llc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598267773716-9E8WUWC14NEHZ6Y9JPX1/12.jpg Blog - Investor Alert: Two Sigma Securities, LLC was censured and fined $225,000 for effecting certain short sale transactions https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/da-davidson-co monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598268618772-647P935DYXMGVP1AOW62/13.jpg Blog - Investor Alert: D.A. Davidson & Co. was censured and fined $20,000 for failing to report to TRACE® https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/-fusion-analytics-securities-llc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598268982460-CBHC4XPMLPB58I8J5TNT/14.jpg Blog - Investor Alert: Fusion Analytics Securities LLC was censured and fined $25,000 for failing to comply with critical books and records https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/jp-morgan-securities-llc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598269268166-MTMS515WGU99M62CN8SK/15.jpg Blog - Investor Alert: J.P. Morgan Securities LLC was censured and fined $325,000 for failing to establish and maintain a supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/exane-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598269777257-AM6A3RQP0IXTI4R0D7AB/16.jpg Blog - Investor Alert: Exane, Inc. was censured and fined $50,000 for failing to establish a system of risk management controls https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/bny-mellon-capital-markets-llc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598270050406-98CA2BXSFBBDH0WXRHQK/17.jpg Blog - Investor Alert: BNY Mellon Capital Markets, LLC was censured and fined $35,000 for failing to submit accurate minimum denomination https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/moors-cabot-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598270417000-B1F2JQA4YHO5VEI2A28B/19.jpg Blog - Investor Alert: Moors & Cabot, Inc. was censured and fined $250,000 for failing to disclose in writing to customers approximately $7.5 million in compensation https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/valmark-securities-inc monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598270956922-F3L63HPA8BPMQ99BG4PP/20.jpg Blog - Investor Alert: Valmark Securities, Inc. was censured and fined $25,000 for relying on journaling rules https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/marie-bernadette-kincheloe monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598271251214-3RO9ZNDLTU08Z4SZA6A7/24.jpg Blog - Investor Alert: Marie Bernadette Kincheloe was barred for refusing to produce documents or information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/matthew-vincent-muratori monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598271766032-8Q863XGERP29X49FLAPJ/25.jpg Blog - Investor Alert: Matthew Vincent Muratori was barred for refusing to appear for on-the-record testimony https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/david-austin monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598272031377-61HA3VE66ND3FZ234X6L/28.jpg Blog - Investor Alert: David Austin was barred for converting approximately $144,000 from three customers https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/gustavo-alberto-trujillo-franco monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598272236398-IYGJ90C6R7LZI3VSGIGE/29.jpg Blog - Investor Alert: Gustavo Alberto Trujillo Franco was barred for failing to appear for on-the-record testimony required by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/michael-joseph-iannarino monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598272482640-ST2I5D65Y6M0W56054HZ/30.jpg Blog - Investor Alert: Michael Joseph Iannarino was barred for failing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/mark-william-menard monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598272783530-4MP0OLY8GNWTO1ABNF4T/31.jpg Blog - Investor Alert: Mark William Menard was fined $5,000 and suspended for falsifying documents as accommodation for customers https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/quinn-daniel-campbell monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598273596660-OJJ58KHMU4TYAS1UK044/32.jpg Blog - Investor Alert: Quinn Daniel Campbell was fined $5,000 and suspended for causing his member firm to violate the SEC’s Regulation S-P https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/hector-ramos monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598273832884-SZB0GTIAH0NFZD4X8HG2/33.jpg Blog - Investor Alert: Hector Ramos was suspended for making unsuitable recommendations to a customer https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/robert-silverman monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598274116753-7UWGJHOPFNKUWXJZ7HRG/35.jpg Blog - Investor Alert: Robert Silverman was fined $10,000 and suspended for effecting transactions in a customer’s accounts https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/joe-mccollum-allbright monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598274451012-UKSY3C6QDP41TUNF4QWR/36.jpg Blog - Investor Alert: Joe McCollum Allbright was fined $10,000 and suspended for engaging in private securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/hector-luis-luna monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598274686027-MYWJX9Z4ET1VHWUNLZAS/37.jpg Blog - Investor Alert: Hector Luis Luna was fined $5,000 and suspended for assisting an elderly customer of his member firm in preparing beneficiary change forms https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/bradley-scott-kyburz monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598275051774-PIOB3CA5MASIV732OY1U/38.jpg Blog - Investor Alert: Bradley Scott Kyburz was fined $10,000 and suspended for failing to disclose through the timely filing of an amended Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/john-wade-loofbourrow monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598275340364-G3FLTBEK4VTN32XYVE70/39.jpg Blog - Investor Alert:John Wade Loofbourrow was fined $7,500 and suspended for supervising disclosed outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/james-joseph-van-ham monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598275676198-0HGZ18W89KUXUG9VEYJH/40.jpg Blog - Investor Alert: James Joseph Van Ham was fined $5,000 and suspended for circumventing his member firm’s supervisory procedures https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/albert-dishner monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598276336014-44N5VOA8K788A4MYFXJ8/41.jpg Blog - Investor Alert: Albert Dishner was fined $5,000 and suspended for exercising discretionary power in a customer’s brokerage accounts https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/christopher-richard-wurtzinger monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598276597950-KPOE0MCVONVPNFT1GZIV/42.jpg Blog - Investor Alert: Christopher Richard Wurtzinger was suspended for failing to conduct a reasonable analysis https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/frank-venturelli monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598276857389-H3Q2IPE4PKKKR3DEQEG7/Steve+Kaneski+Investigation Blog - Investor Alert: Frank Venturelli was suspended for engaging in quantitatively unsuitable trading https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/michael-nicholas-catoggio monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598277172517-PDE1CO46GJPO35L8COM4/44.jpg Blog - Investor Alert: Michael Nicholas Catoggio was fined $5,000 and suspended for failing to establish and implement an AML compliance program https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/benard-wayne-gann monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598277513944-E1U2Y3FWXOK5JQRDCG2U/45.jpg Blog - Investor Alert: Benard Wayne Gann was fine of $5,000 and suspended or placing an unauthorized trade in a customer’s account https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/micah-wesley-patterson monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598277750001-ZFAB5N13KDISWWSQQVP7/47.jpg Blog - Investor Alert: Micah Wesley Patterson was fined $5,000 and suspended for engaging in an undisclosed and unapproved private securities transaction https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/-eric-lowell-small monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598278004603-BIERB7B1LWA93PSJ985L/48.jpg Blog - Investor Alert: Eric Lowell Small was fined $5,000 and suspended for failing to timely amend his Form U4 to disclose a bankruptcy https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/ryan-matthew-davis monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598278317532-GWFSAHQRX1I74Z6MUE86/49.jpg Blog - Investor Alert: Ryan Matthew Davis was fined $15,000 and suspended for engaging in outside business activities without providing written notice https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/gregory-alan-ricker monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598278533196-T5KHS8TFM1NIOONHR97Z/50.jpg Blog - Investor Alert: Gregory Alan Ricker was fined $5,000, suspended for participating in private securities transactions by referring a potential investor https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/henry-arthur-taylor-iii monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598278899921-A310XC9K0A3RNE2RNUQU/1.jpg Blog - Investor Alert: Henry Arthur Taylor III was fined $7,500 and suspended for participating in a $30,000 private securities transaction https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/katie-ann-hudson monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598279659480-IQPLLBJAJO8ZER9Q5ZQ1/2.jpg Blog - Investor Alert: Katie Ann Hudson was fined $5,000 and suspended for failing to timely amend her Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/william-joseph-kielczewski monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598281130526-Y3A9GU4B981ZUGDLH7RY/3.jpg Blog - Investor Alert: William Joseph Kielczewski was fined $50,000 and suspended participating in private securities transactions without providing prior written notice https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/adam-james-makkai monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598281367701-79MO82PJY5L48OITDRQI/4.jpg Blog - Investor Alert: Adam James Makkai was named in a complaint for negotiating the purchase of the unregistered person’s book https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/julian-jay-piekarczyk monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598281558976-AMPHHH9VRIFW07Q7Q79H/5.jpg Blog - Investor Alert: Julian Jay Piekarczyk was named in a complaint for engaging in an unethical course of conduct https://theinvestmentattorneys.com/investment-fraud-blog/08-22-2020/christopher-peter-tranchina monthly 0.5 2023-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598281772365-C82I5CMFF0ZGLFTPRPAU/6.jpg Blog - Investor Alert: Christopher Peter Tranchina was named in a complaint for committing conversion by taking files with the intent to deprive his former member https://theinvestmentattorneys.com/investment-fraud-blog/2022/09/28-robert-newman-pyhk6 monthly 0.5 2022-09-28 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FLG is investigating claims of unsuitable investments sold by Robert Newman https://theinvestmentattorneys.com/investment-fraud-blog/04-30-2021/trevor-rahn monthly 0.5 2021-04-30 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1598281130526-Y3A9GU4B981ZUGDLH7RY/3.jpg Blog - Investor Alert: Trevor Rahn was fined $10,000 and suspended for improper trading https://theinvestmentattorneys.com/investment-fraud-blog/2021/03/05/gbp-ponzi-scheme-sza7n monthly 0.5 2021-03-05 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: SEC filed charges against senior GPB executives for Ponzi Scheme fraud https://theinvestmentattorneys.com/investment-fraud-blog/2020/11/11/yoko-farias monthly 0.5 2020-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: Recover Your Investment Losses in Northstar Financial Services (Bermuda) Ltd. https://theinvestmentattorneys.com/investment-fraud-blog/2020/09/23/criterion monthly 0.5 2020-09-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: SEC Charges Criterion Wealth Management Insurance Services for conflicts of interest https://theinvestmentattorneys.com/investment-fraud-blog/2019/09/23/kirk-badii monthly 0.5 2020-09-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FLG is investigating claims of unsuitable investments sold by Kirk Badii https://theinvestmentattorneys.com/investment-fraud-blog/date/steven-rodemer monthly 0.5 2020-09-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1516242575445-C5ZO0HCED3F4RAYNPI5T/Steve+Kaneski+Investigation Blog - Investor Alert: FINRA Suspended Steven D. Rodemer https://theinvestmentattorneys.com/investment-fraud-blog/2018/1/ubs-yes monthly 0.5 2021-03-05 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: Recover Your UBS Yield Enhancement Strategy (YES) Investment Losses https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/sean-michael-refsnider monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593484882701-PTCSNWEZS1VRF0DZSJAU/10.jpg Blog - Investor Alert: Sean Michael Refsnider was named in a complaint for converting approximately $42,000 from an elderly customer https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/integrity-brokerage-services-inc monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593484336636-KAE6TS5AJ28Q086QC69H/9.jpg Blog - Investor Alert: Integrity Brokerage Services, Inc. was named in a complaint for engaging unlicensed securities business https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/chams-khwaja monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593483509841-U36NH755I5I5ERYCQPYA/7.jpg Blog - Investor Alert: Chams Khwaja was named in a FINRA complaint for failing to provide information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/robert-g-nash monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593483206854-Z1XFVCLQ1CWYP5LOLG8X/6.jpg Blog - Investor Alert: Robert G. Nash was fined $47,500 and suspended for failing to maintain a reasonable supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/linda-c-milberger monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593482888982-9TDPVWOPAXD9OZAUML3G/5.jpg Blog - Investor Alert: Linda C. Milberger was suspended for falsifying twice a wire request form https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/sandra-gose-stevens monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593482649504-LHQOIHRYV132FCHWPEIV/4.jpg Blog - Investor Alert: Sandra Gose Stevens was fined $5,000 and suspended for falsifying documents https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/steven-todd-gary monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593482373439-1N2BI7YOHTGGG9194DGA/3.jpg Blog - Investor Alert: Steven Todd Gary was fined $12,500 and suspended for forging signature endorsements https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/james-lee monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593481668909-BWFNL1WPD36YPCDJ8NH6/2.jpg Blog - Investor Alert: James Lee was fined $5,000 and suspended for impersonating customers on telephone calls https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/paul-david-weiss monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593480796172-EPFC5IP6NAWRUV2AIBCG/1.jpg Blog - Investor Alert: Paul David Weiss was fined $20,000 and suspended for engaging in undisclosed outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/-david-weisberg monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593480336136-7KWTLCPJUKME86HIY9PW/50.jpg Blog - Investor Alert: David Weisberg was fined $7,500 and suspended for engaging in excessive and unsuitable trading https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/owen-arthur-may monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593479824720-O16EN88DRAZJZYGR08DY/49.jpg Blog - Investor Alert: Owen Arthur May was fined $5,000 and suspended for failing to timely amend his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/jeffrey-hall-heely monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593479273909-9SK7EW0Q8D4D9P5V8IZX/48.jpg Blog - Investor Alert: Jeffrey Hall Heely was fined $5,000 and suspended for engaging in an undisclosed outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/brian-douglas-engstrom monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593478902965-BI7XAHACY6DADZ5IP5NT/47.jpg Blog - Investor Alert: Brian Douglas Engstrom was fined $5,000 and suspended for engaging in an unsuitable short-term trading https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/robert-francis-costello monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593478527142-OSNV8KP9T34XDV9RE3JF/45.jpg Blog - Investor Alert: Robert Francis Costello was fined $5,000 and suspended for mismarking corporate bond positions https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/joseph-john-mauro monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593477887795-AT9IK6AOZKGZQAIU13SK/44.jpg Blog - Investor Alert: Joseph John Mauro was fined $5,000 and suspended for falsifying three customers’ signatures https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/lillian-degasperis monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593477537698-V3XQNXU9WPNWB8C4M9XJ/43.jpg Blog - Investor Alert: Lillian DeGasperis was suspended for failing to amend her Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/william-andrew-wimberly monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593477208031-PX9W84ZVD9TJNDI4EHY4/42.jpg Blog - Investor Alert: William Andrew Wimberly was fined $5,000 and suspended for outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/marjorie-ann-ruediger monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593476918332-CVIRSAFYPIZHH5HLVTUR/41.jpg Blog - Investor Alert: Marjorie Ann Ruediger was fined $5,000 and suspended for photocopying previously signed customer forms https://theinvestmentattorneys.com/investment-fraud-blog/06-27/2020/r-james-richards monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593476702254-7390F061U93TIUDVT46P/40.jpg Blog - Investor Alert: R. James Richards was fined $7,500 and suspended for violating margin rules https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/alexander-jon-james monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593476172040-X819N24QYL3CMI7E50O2/38.jpg Blog - Investor Alert: Alexander Jon James was fined $10,000 and suspended for outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/clare-marie-cail monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593475704631-3P7BGSS6L2HRQ1AA9PME/37.jpg Blog - Investor Alert: Clare Marie Cail was fined $5,000 and suspended for altering account documents https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/barry-robert-bode monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593475307460-G5FJVZCD50DMKH6QSTJ0/36.jpg Blog - Investor Alert: Barry Robert Bode was fined $5,000 and suspended for unauthorized outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/jacqueline-maria-jacobsen monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593474955465-WZ7O5HFO8KHP0QEKCRA6/35.jpg Blog - Investor Alert: Jacqueline Maria Jacobsen was fined $5,000 and suspended for misusing funds belonging to her member firm https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/james-garland-kennedy-jr monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593464347928-56MO9T2X43GPN7ZOBQ2B/33.jpg Blog - Investor Alert: James Garland Kennedy Jr. was barred for failing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/torrey-brent-sattof monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593463604430-TGJ9EOBXBW7WMRXP2M68/32.jpg Blog - Investor Alert: Torrey Brent Sattof was barred for converting $1,091 from his member firm https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/charles-lawrence-doraine monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593462949785-E9CQ84WWFWO1JW39FZJF/30.jpg Blog - Investor Alert: Charles Lawrence Doraine was barred for refusing to provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/bryan-edwin-benson monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593462408644-LO91R1E07G6ZWWTD8JZP/29.jpg Blog - Investor Alert: Bryan Edwin Benson was barred for refusing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/jonathan-scot-zwickel monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593462112423-LMJD1BB0HL42COSN3ZDY/28.jpg Blog - Investor Alert: Jonathan Scot Zwickel was barred for refusing to provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/karen-denise-clark-kocinski monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593461907717-XUV1DFUN8DBTKCSBULV1/25.jpg Blog - Investor Alert: Karen Denise Clark-Kocinski was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/yee-yee-htwe monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593461731483-MOIRWN7DXMOSRWS5T6UI/24.jpg Blog - Investor Alert: Yee Yee Htwe was barred for failing to fully respond to FINRA’s request for documents https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/peter-orlando monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593461517344-WWN7WYJ8JX8FGBP6ZQFD/23.jpg Blog - Investor Alert: Peter Orlando was barred for engaging in unethical conduct https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/albert-harkless-iii monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593461143556-D08L7WUM95OLZD0PCCNX/22.jpg Blog - Investor Alert: Albert Harkless III was barred for converting approximately $3,120 from a customer https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/gregory-john-stouffer monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593460928271-2FF8DU1GXRBIOUZHHTUC/20.jpg Blog - Investor Alert: Gregory John Stouffer was barred for refusing to provide information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/kwasi-mensah-aggor monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593460655678-I825LT8VRAB10OQTKJRD/19.jpg Blog - Investor Alert: Kwasi Mensah Aggor was barred for refusing to provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/robert-renteria monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593460447749-JXSG9NDYNAI0GDTGYOOC/17.jpg Blog - Investor Alert: Robert Renteria was barred for providing false information to FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/-charles-james-euler-jr monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593460176715-S56VLCK2UG3Q7V3VWJSG/16.jpg Blog - Investor Alert: Charles James Euler Jr. was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/peggy-jean-doherty-punderson monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593459996571-KKBCJMZATLI6JX0302SC/15.jpg Blog - Investor Alert: Peggy Jean Doherty-Punderson was barred for refusing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/piero-b-dilorenzo monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593459815370-I9B8KFJQRV851EK0NWT0/14.jpg Blog - Investor Alert: Piero B. DiLorenzo was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/melissa-ann-niederhauser monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593459600391-ZT5X7UH57RQNVAB8D21V/13.jpg Blog - Investor Alert: Melissa Ann Niederhauser was barred for converting $73,618 from customers https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/jeremy-joseph-cook monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593459151593-HCK0BIE3OOBZIUYRYFTA/12.jpg Blog - Investor Alert: Jeremy Joseph Cook was barred or refusing to provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/alan-harold-new monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593458870301-NZ6WBKHN983FGK0CUI1M/11.jpg Blog - Investor Alert: Alan Harold New was barred for failing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/steven-jun-lu monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593457935266-93U4V6IBPUJ8P27KKACZ/10.jpg Blog - Investor Alert: Steven Jun Lu was barred for entering into a power of attorney for elderly client https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/timothy-brent-hetrick monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593457679643-8P02O9S7HRDRTV53XBUH/9.jpg Blog - Investor Alert: Timothy Brent Hetrick was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/ollisha-h-taylor monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593457416954-IDU91PQNLV8VMC14K01L/8.jpg Blog - Investor Alert: Ollisha H. Taylor was barred for refusing to provide information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/erik-patrick-pica monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593457154438-WBQH5CSA09QP49SS85X4/7.jpg Blog - investor Alert: Erik Patrick Pica was barred for converting $200,000 from an elderly customer https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/patrick-m-coogan monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593456703483-E399LMPMETVM5DHJWUAS/5.jpg Blog - Investor Alert: Patrick M. Coogan was barred for making reckless misrepresentations https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/kestra-investment-services-llc monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593456489414-K1QC1G3TZ43EFFG3A29C/4.jpg Blog - investor Alert: Kestra Investment Services, LLC was censured and fined $125,000 disclosing customer information https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/morgan-stanley-co-llc monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593456315396-G3U1A7HXB23XBULYO4M5/3.jpg Blog - Investor Alert: Morgan Stanley & Co. LLC was censured and fined $300,000 for erroneously submitting reports to the OATS™ https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/chapin-davis-inc monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593456100902-WFU8TF9AN06AYFMX7WPZ/2.jpg Blog - Investor Alert: Chapin Davis, Inc was censured and fined $35,000 for failing to fully implement its procedures https://theinvestmentattorneys.com/investment-fraud-blog/06-27-2020/northwestern-mutual-investment-services-llc monthly 0.5 2020-07-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1593455877814-8HBGFB9XPU36BVOYTG8I/1.jpg Blog - Investor Alert: Northwestern Mutual Investment Services, LLC censured and fined $350,000 for failing to supervise https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/-steven-harris monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590037009662-AAQ1ITMOQ5UGFWB8KGXA/3.jpg Blog - Investor Alert: Steven Harris was named in a FINRA complaint for manufacturing faked documents https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/david-ray-oakes monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590036736819-E5SFSXZV0XJ2UWL7GGD6/2.jpg Blog - Investor Alert: David Ray Oakes was named in a FINRA complaint for structuring cash deposits and withdrawals https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/raymond-alexander-thomas monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589741042837-D24ONNIE023S641RWGS4/1.jpg Blog - Investor Alert: Raymond Alexander Thomas was named in a FINRA complaint for unapproved outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/mark-thomas-lamkin monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590036081299-O8MHESD21M7A88I7QVHB/49.jpg Blog - Investor Alert: Mark Thomas Lamkin was fined $7,500 and suspended for borrowing $1,265,000 from a customer https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/william-james-hite monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590035872751-I44OYX0XYKGOIB9OMQSL/48.jpg Blog - Investor Alert: William James Hite was fined $7,500 and suspended forging an elderly customer’s signature https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/charles-henry-postel monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590035669363-FSIHFII7E7MLKTS7WC8Z/47.jpg Blog - Investor Alert: Charles Henry Postel was fined $5,000 and suspended for effecting pairs of agency cross transactions https://theinvestmentattorneys.com/investment-fraud-blog/05-17-202/-jennifer-lillian-basey monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590035465065-GUA5211UWZX5L2WD6J6I/45.jpg Blog - Investor Alert: Jennifer Lillian Basey was fined $5,000 and suspended for falsifying a customer’s signature https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/-sofia-t-gonzalez monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590035203119-ZERYI0DJM4M06KZRKXGZ/44.jpg Blog - Investor Alert: Sofia T. Gonzalez was fined $5,000 and suspended for sharing in losses incurred by customers https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/-scott-patrick-kozak monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590034959906-HVGNM6YGI152XU2SUJ7D/43.jpg Blog - Investor Alert: Scott Patrick Kozak was fined $10,000 and suspended for participating in three sets of private securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/taylor-cade-hoskins monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590012902513-M0ROL7RHMKAI714UV1F6/42.jpg Blog - Investor Alert: Taylor Cade Hoskins was fined $5,000 and suspended for using his member firm’s login credentials to access customer information https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/halil-kozi monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590012590101-UYZKPJHYZVQUSKLMQNEA/41.jpg Blog - Investor Alert: Halil Kozi was suspended for excessive trading https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/tishon-lamon-afanador monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590012205671-OLN6QOR1GS1XXGXD8D6D/40.jpg Blog - Investor Alert: Tishon Lamon Afanador was fined $5,000 and suspended for failing to timely amend his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/frederic-thomas-ohara monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590011933448-LEXV1OHUTN499OB2J145/39.jpg Blog - Investor Alert: Frederic Thomas O’Hara was fined $10,000 and suspended for engaging in outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/caleb-austin-jamison monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590010853593-O1DBI8GKIHCIGK3FPDVO/38.jpg Blog - Investor Alert: Caleb Austin Jamison was fined $7,500 and suspended for participating in a private securities transaction https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/andre-derricotte monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590010555610-ZPUSIKA6K681RHL3C690/37.jpg Blog - Investor Alert: Andre Derricotte was fined $5,000 and suspended for possessing and accessing unauthorized materials https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/quincy-deearl-caldwell monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590010255339-ILM3JPOZ790YZNT812YT/36.jpg Blog - Investor Alert: Quincy DeEarl Caldwell was fined $5,000 and suspended for recommending and effected unsuitable short-term trades https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/william-blake-mcgowan monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590009527260-D2PHXOC1VNLWS2WNJZWA/35.jpg Blog - Investor Alert: William Blake McGowan was fined $7,500 and suspended for participating in a private securities transaction https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/john-stuart-crain monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590008866814-SCORCD52BMPRZ0PSO6G8/32.jpg Blog - Investor Alert: John Stuart Crain was fined $5,000 and suspended for asking customers of his member firm to sign blank forms https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/imran-nazir-razvi monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590008582749-8PF9G7REU9Y5CIODK95V/31.jpg Blog - Investor Alert: Imran Nazir Razvi was fined $5,000 and suspended for engaging in an outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/billy-hai-zhang monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590008152352-GMG943GF826VOW8CJ5TG/30.jpg Blog - Investor Alert: Billy Hai Zhang was fined $5,000 and suspended for settling a customer complaint https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/chad-p-meyer monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590007419071-PQ3FRW9AOL4J6X6UBLYR/28.jpg Blog - Investor Alert: Chad P. Meyer was fined $5,000 and suspended for unapproved outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/ashley-k-martin monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590007323497-R7YPULTEMBXJDMGHE12K/25.jpg Blog - Investor Alert: Ashley K. Martin was barred for failing to provide information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/gerald-roger-dewes monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590007112174-NEJUV3UIM7W7ZVQV458P/24.jpg Blog - Investor Alert: Gerald Roger Dewes was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/kimberly-ann-springsteen-abbott monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1590006878053-ZSHTHKQAK7RBLA5B9XFR/23.jpg Blog - Investor Alert: Kimberly Ann Springsteen-Abbott was barred for improperly allocating personal expenses https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/james-andrew-gallego monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589912164053-24RZL8D0QOPO84JN9SOJ/22.jpg Blog - Investor Alert: James Andrew Gallego was barred for refusing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/demaurio-cortez-clark monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589911964511-U7JR0WP3NGA28VEMPR5G/20.jpg Blog - Investor Alert: Demaurio Cortez Clark was barred for converting $16,560 from an elderly customer https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/john-fletcher-zapgc-923k8-szl3e-jpbzs-dbdk2-2gn4f-3cf6s-7ylmt-w7zzg-nah2h-epbe9-yehwt-x5y3h-4gxad-dffxj-x7klf-zn5ap monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589911759661-83I84Y2EBC5SLD5WPNTM/19.jpg Blog - Investor Alert: Steven Dale Rodemer was barred for for refusing to provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/james-gregory-mckinney monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589911514316-YMJHD4ZWGGAI3EQ24D8N/17.jpg Blog - Investor Alert: James Gregory McKinney was barred for failing to comply with FINRA requests https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/dana-bruce-vietor monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589911306153-B6ZN141DO4BGL3WYY6EX/16.jpg Blog - Investor Alert: Dana Bruce Vietor was barred for selling unapproved promissory notes https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/rodney-robert-welsh-jr monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589911044717-PJFHGGUY1FPOW0T7662U/15.jpg Blog - Investor Alert: Rodney Robert Welsh Jr. was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/james-blake-daughtry monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589910749436-SXOQD1DR50HRIWTV418N/14.jpg Blog - Investor Alert: James Blake Daughtry was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/david-lance-hall monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589910498980-GFMR7KSRH6UNVVO0LA1G/13.jpg Blog - Investor Alert: David Lance Hall was barred for refusing to produce documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/daniel-joseph-arcuri-jr monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589910092315-U49RT0HUB4KY7QLUNKRX/12.jpg Blog - Investor Alert: Daniel Joseph Arcuri Jr. was barred for failing to appear for and provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/andre-pierre-davis monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589909787986-TJLSD5Z6BHH2OCPIZKQ3/11.jpg Blog - Investor Alert: Andre Pierre Davis was barred for refusing to produce information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/louis-cook monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589745708631-1CA56CE9J1UY1YCFWW35/10.jpg Blog - Investor Alert: Louis Cook was barred for intentional misrepresentations to customers https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/arive-capital-markets monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589745288939-VU2J9WK9K1OPQ2LYGMUF/9.jpg Blog - Investor Alert: Arive Capital Markets was censured and fined $45,000 for failing to develop and implement anti-money laundering program https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/morgan-stanley-smith-barney-llc monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589744821626-2T2QQNOS65TFQQD7BICH/8.jpg Blog - Investor Alert: Morgan Stanley Smith Barney LLC was censured and fined $300,000 for failing to timely report fixed income transactions https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/first-manhattan-co monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589744460104-702I7CD7X9BSLSH9L5PC/6.jpg Blog - Investor Alert: First Manhattan Co was censured and fined $100,000 for failing to purchase municipal securities at prevailing prices https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/mml-investors-services-llc monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589744208996-KVEAHJQ67ANL08C3Q2YB/5.jpg Blog - Investor Alert: MML Investors Services, LLC was censured and fined $75,000 for failing to protect customer information https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/citigroup-global-markets-inc monthly 0.5 2020-06-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589743884966-JT5FUQAQ06MYPDJBPISK/4.jpg Blog - Investor Alert: Citigroup Global Markets Inc. was censured and fined $160,000 for failing to transmit ROEs to OATS https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/bay-crest-partners-llc monthly 0.5 2020-05-22 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589743370406-ZNQYDJAPKQWVM6HMT4H7/3.jpg Blog - Investor Alert: Bay Crest Partners, LLC was censured and fined $67,000 for failing to register its CCO https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/gfi-securities-llc monthly 0.5 2020-05-22 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589743052871-OH2AW9BWX53FHMZFZ4SV/2.jpg Blog - Investor Alert: GFI Securities LLC was censured and fined $50,000 for failing to supervise https://theinvestmentattorneys.com/investment-fraud-blog/05-17-2020/john-fletcher monthly 0.5 2020-05-22 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1589741042837-D24ONNIE023S641RWGS4/1.jpg Blog - Investor Alert: John Fletcher was fined $7,500 and suspended for failing to supervise https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/terrence-edward-bonk monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587748846749-9XJV1708MXCIJYY0P75J/24.jpg Blog - Investor Alert: Terrence Edward Bonk was fined $10,000 and suspended for borrowing $8,000 from a customer https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/gustavo-alberto-trujillo-franco monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587750363774-JSYOXH6H5PJAK7S6JUDM/32.jpg Blog - Investor Alert: Gustavo Alberto Trujillo Franco was named in FINRA complaint for failing to appear for on-the-record testimony https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/juan-escobio monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587750098697-MA7LADDCM6NBFREOSB8K/31.jpg Blog - Investor Alert: Robert Juan Escobio was barred for failing to comply with FINRA’s requests https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/jody-ethan-thompson monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587749857397-WVTIMQTOEQUEODQKV1B7/30.jpg Blog - Investor Alert: Jody Ethan Thompson was suspended for unsuitable recommendations https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/matthew-duane-sibley monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587749654661-REHC46X6K8EHRGN9ZR6V/29.jpg Blog - Investor Alert: Matthew Duane Sibley was fined $7,500 and suspended for negligent misrepresentation https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/kenton-christopher-crabb monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587749345995-129XP7MUC7H414ADZ0U6/28.jpg Blog - Investor Alert: Kenton Christopher Crabb was fined $5,000 and suspended for failing to amend Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/paul-anthony-falcon monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587749078747-YLHGIQPZ6SG393L1WZGD/25.jpg Blog - Investor Alert: Paul Anthony Falcon was fined $5,000 and suspended for using an unapproved third-party communication application https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/pedro-perez-riu monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587747922060-MWK9NRBAS3RRY7AF1CC1/23.jpg Blog - Investor Alert: Pedro Perez-Riu was fined $5,000 and suspended for executing non-bonafide fixed income transactions https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/thomas-m-murphy monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587747639286-AGGD0FI8A6G8BY607I0Q/22.jpg Blog - Investor Alert: Thomas M. Murphy was fined $5,000 and suspended for executing subscription agreements without authority https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/angela-marie-chatfield monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587747319461-ODJSLG7G34NOXAHU07RL/20.jpg Blog - Investor Alert: Angela Marie Chatfield was fined $5,000 and suspended for unauthorized outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/david-francis-dalton monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587746853554-EXB5K009JVAMSU4J1BSU/19.jpg Blog - Investor Alert: David Francis Dalton was fined $7,500 and suspended for unauthorized trading https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/john-martin-harman monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587746601517-H1EGHR4EC9FN5ZQU2ER0/17.jpg Blog - Investor Alert: John Martin Harman was fined $5,000 and suspended for directing customers to sign blank distribution requests https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/peter-douglas-monson monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587746080904-PQSWNPUOJ46LR517SYB1/16.jpg Blog - Investor Alert: Peter Douglas Monson was fined $7,500 and suspended for excessive and unsuitable trading https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/-joseph-morris-thurnherr monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587745672754-ZMHAKYB3J2JM0W2Z5ERK/15.jpg Blog - Investor Alert: Joseph Morris Thurnherr was barred for for refusing to cooperate with regulators https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/paolo-assumpcao-monaco monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587742842298-B9C9SVDN8HL5E4KQAMKT/12.jpg Blog - Investor Alert: Paolo Assumpcao Monaco was barred for refusing to cooperate with regulators https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/-martin-david-batstone monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587742568552-KI20Z43IQ2CXQ3YXDWNL/11.jpg Blog - Investor Alert: Martin David Batstone was barred for using customer funds for his personal expenses https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/Ronald Walter Hannes monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587742281848-7BRWXJ74R4TUATNK359P/10.jpg Blog - Investor Alert: Ronald Walter Hannes was barred for refusing to produce documents to regulators https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/jeffrey-scott-nimmow monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587741938240-2H0FG4P11E2YM569G1FI/9.jpg Blog - Investor Alert: Jeffrey Scott Nimmow was barred for unapproved promissory note sales https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/ana-lucia-chavarriaga monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587574248678-Q750F92FDH6NTHAMTSFJ/8.jpg Blog - Investor Alert: Ana Lucia Chavarriaga was barred for backdating documents https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/james-adam-paquette monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587573923041-DMKJJEDP6V2BR6S7IQDK/7.jpg Blog - Investor Alert: James Adam Paquette was barred for failing to timely update his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/acs-execution-services-llc monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587573613045-MCLCJTWKS1B3F8R1K5RU/6.jpg Blog - Investor Alert: ACS Execution Services, LLC was censured and fined $75,000 for reporting errors https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/wedbush-securities-inc monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587573412304-QBHENTTAH7ERI6FVN7AP/5.jpg Blog - Investor Alert: Wedbush Securities Inc. was censured and fined $30,000 for reporting errors https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/morgan-stanley-co-llc monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587573243827-P3M4TXMC9OWOMRDVXYDY/4.jpg Blog - Investor Alert: Morgan Stanley & Co. LLC was censured and fined $20,000 for permitting unregistered foreign affiliates to trade https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/fimco-securities-group-inc monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587572952958-J2JB1MH4N5ZC4S5I9B1O/3.jpg Blog - Investor Alert: FIMCO Securities Group, Inc. was censured and fined $5,000 for failure to supervise https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/bnp-paribas-securities-corp monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587572532652-9PJIDFD8W3JWMPPN5516/2.jpg Blog - Investor Alert: BNP Paribas Securities Corp. was censured and fined $90,000 for submitting inaccurate information to the OATS https://theinvestmentattorneys.com/investment-fraud-blog/04-21-2020/virtu-americas-llc-fka-kcg-americas-llc monthly 0.5 2020-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1587571531769-5MXS26NR0QWIAQQ2GHK4/1.jpg Blog - Investor Alert: Virtu Americas LLC was censured and fined $250,000 for for OTC trading errors and failure to supervise https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/cabot-lodge-securities-llc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584864165908-Z2O7RCLMW25TE1ROOH6J/16.jpg Blog - Investor Alert: Cabot Lodge Securities LLC was named in FINRA Complaint for participating in an IPO of a non-traded REIT https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/kapil-maheshwari monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584863109671-RLY6ZCY9K2T4V4GU0NSP/14.jpg Blog - Investor Alert: Kapil Maheshwari was barred for misusing confidential information from his former firm https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/jorge-a-reyes monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584862726460-JE99W7OJTBCIEZ3ZIH5I/13.jpg Blog - Investor Alert: Jorge A. Reyes was barred for violating Securities Exchange Act of 1934 https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/thaddeus-james-north monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584863477334-1183CMTDLV9H53R3IQH2/15.jpg Blog - Investor Alert: Thaddeus James North was fined $5,000 for failure to supervise https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/daniel-r-castoriano monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584861409167-65IKPKZJNBNR0JMW8L49/11.jpg Blog - Investor Alert: Daniel R. Castoriano was suspended and fined $5,000 for unapproved trading https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/john-robert-barrows monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584860631109-YDESPHV2EPKT0VSDUHWW/10.jpg Blog - Investor Alert: John Robert Barrows was suspended and fined $5,000 for failing to timely amend his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/keith-trevor-rich monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584860253718-E59LXVLR0IYKNVS6DQST/9.jpg Blog - Investor Alert: Keith Trevor Rich was suspended and fined $5,000 for engaging in an outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/thomas-s-martin monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584859658375-MDY4K07GNC5SORE7J0H5/8.jpg Blog - Investor Alert: Thomas S. Martin was suspended and fined $5,000 for unapproved trading https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/lila-marie-stokkeland monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584859149494-FV8VO6F48XEFN9HLTN8H/7.jpg Blog - Investor Alert: Lila Marie Stokkeland was suspended and fined $5,000 for electronically affixing customer signatures https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/kevin-kimball-meadows monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584858467203-HLP5S2Z2VDN89B7L1A6B/6.jpg Blog - Investor Alert: Kevin Kimball Meadows was suspended for excessively trading https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/mason-wayne-gann monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584857671109-003S01YCMT7RUQPCYCUT/4.jpg Blog - Investor Alert: Mason Wayne Gann was suspended for recommending a risky options-trading strategy https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/robert-frank-spiegel monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584857378508-1LPOE2IT9MD78GJZ0S8D/3.jpg Blog - Investor Alert: Robert Frank Spiegel was suspended and fined $5,000 for unsuitable trading https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/wesley-ko-omoto monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584856994045-JVZ5UZ9TOCIV8D8N1JWN/2.jpg Blog - Investor Alert: Wesley Ko Omoto was suspended and fined $5,000 for falsifying customer records https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/craig-michael-gould monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584856760076-OUI7WOVC171H0R0TRRVS/1.jpg Blog - Investor Alert: Craig Michael Gould was suspended and fined $20,000 for failing to supervise https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/thomas-j-crossett monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584856000182-I49FNUS0BUQMWF4CM6FL/47.jpg Blog - Investor Alert: Thomas J. Crossett was suspended and fined $5,000 for forging his wife’s signature https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/sean-paul-waggoner monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584855519061-RXT66MH3C9RRZM3ZJBY5/45.jpg Blog - Investor Alert: Sean Paul Waggoner was suspended and fined $10,000 for participating in private securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/aaron-f-sheehy monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584854586765-R5YCA9YYYMA5QOW0YS2D/43.jpg Blog - Investor Alert: Aaron F. Sheehy was suspended and fined $5,000 for unapproved trading https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/andrew-justin-grant monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584853770150-JGM2RANMJ8W7H3WMQ9KN/42.jpg Blog - Investor Alert: Andrew Justin Grant was suspended and fined $5,000 for unapproved trading in customer account https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/albert-foronda monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584854118418-3C8DAXSLLH8BKT5ABS3K/41.jpg Blog - Investor Alert: Albert Foronda was suspended and fined $7,500 for unauthorized trading https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/rene-moses-torres-jr monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584852040425-GLABS0KZREGLJ4FPSOVQ/40.jpg Blog - Investor Alert: Rene Moses Torres Jr. was suspended and fined $5,000 for failing to timely amend his From U4 https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/julian-e-munoz monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584851609362-G1P3P8XLFGDNMAXHQSQZ/39.jpg Blog - Investor Alert: Julian E. Munoz was suspended and fined $5,000 for borrowing $30,000 from a customer https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/jason-c-labelle monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584851306050-D28K0D28WBNAT4MZXCUI/38.jpg Blog - Investor Alert: Jason C. LaBelle was suspended and fined $5,000 for participating in an outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/james-r-willing monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584851029422-4Y52ORUXKEDRT9B7BQNL/37.jpg Blog - Investor Alert: James R. Willing was suspended and fined $7,500 for personal trading violation https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/robert-james-dandria monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584850638130-JZNARW2KTD2EP5AF3TJ1/36.jpg Blog - Investor Alert: Robert James D’Andria was suspended and fined $5,000 for purchasing of non-traditional NT-ETPs https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/randy-t-carpen monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584850350810-2LXNQP3130TI8BE1N6N8/35.jpg Blog - Investor Alert: Randy T. Carpen was barred for failing to produce documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/antonio-gutierrez-puente monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584849766676-WVL2FHNO8BLIJNVFM6U4/33.jpg Blog - Investor Alert: Antonio Gutierrez Puente was barred for refusing to provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/kari-marlin-bracy monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584849584602-9JE1IAWF0ET67RNN8LLG/32.jpg Blog - Investor Alert: Kari Marlin Bracy was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/christopher-richard-barone monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584849193157-VXF88H2LPH3N8LWU4VB7/31.jpg Blog - Investor Alert: Christopher Richard Barone was barred making misrepresentations to FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/michael-leahy monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584848971956-G8RTMGY5B1PJSDH8O0YJ/29.jpg Blog - Investor Alert: Michael Leahy was barred for failing to supervise a former representative https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/charles-jonathan-evan monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584848626774-TWFFADGU3W6WHG2BB3J1/29.jpg Blog - Investor Alert: Charles Jonathan Evan was barred for refusing to provide documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/zachary-scott-wagner monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584848427553-7RDOSFSPV30QQBC9WAIK/28.jpg Blog - Investor Alert: Zachary Scott Wagner was barred for failing to provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/david-oscar-braeger monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584848208974-2Y107YFIZFJHVTX5BJ12/25.jpg Blog - Investor Alert: David Oscar Braeger was barred for misusing and converted $30,000 from customer https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/paul-william-petrillo monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584847999589-ZQM8SQ2X68KBNUOWE1HS/24.jpg Blog - Investor Alert: Paul William Petrillo was barred for placing discretionary orders to purchase securities https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/-jesse-gil-iii monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584847756452-2PICT1RC7KI6RUOW3IDF/23.jpg Blog - Investor Alert: Jesse Gil III was barred for converting approximately $2,500 from 82-year-old widow https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/robert-russel-tweed monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584847519070-AHWBLHW6JQ9K48GRUJJ6/22.jpg Blog - Investor Alert: Robert Russel Tweed was barred for failing to disclose material facts https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/gabriel-william-hynesshlomo-strugano-37h5p monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584847204603-TQ4VYON5KDIJRP76E2QT/20.jpg Blog - Investor Alert: Gabriel William Hynes was barred refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/shlomo-strugano monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584847026191-HPTM7H4WXHY4O2BYU56A/19.jpg Blog - Investor Alert: Shlomo Strugano was barred for failing to provide testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/john-a-chrysadakis monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584846794809-1CVY731FRF1CR6CPQOCU/17.jpg Blog - Investor Alert: John A. Chrysadakis was barred for refusing to produce information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/stephen-carver monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584846505697-GIXG52HRXTE79LMR9NZO/16.jpg Blog - Investor Alert: Stephen Carver was barred for refusing to produce information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/john-joseph-cahill monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584744049272-Y4H51QMXRATAA65LHE8Q/15.jpg Blog - Investor Alert: John Joseph Cahill was barred for refusing to provide documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/wedbush-securities monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584741377816-UAPGJG61B1W6BDQ8MT0R/13.jpg Blog - Investor Alert: Wedbush Securities Inc. was censured and fined $90,000 for misrepresenting short positions https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/paulson-investment-company-llc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584742035604-D0I4CGSCTK0ZE6Z3UL55/13.jpg Blog - Investor Alert: Paulson Investment Company LLC was censured and fined $50,000 for selling private placement https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/wells-fargo-advisors-llc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584741377816-UAPGJG61B1W6BDQ8MT0R/13.jpg Blog - Investor Alert: Wells Fargo Advisors, LLC was censured and fined $175,000 for failing to supervise https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/royal-alliance-associates-inc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584739960650-ZK61ANA6GI176NGXUHGO/11.jpg Blog - Investor Alert: Royal Alliance Associates, Inc. was censured and fined $400,000 for failing to supervise https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/prudential-investment-management-services-llc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584737966751-LOHDKY2NQ847BZNMD3G3/10.jpg Blog - Investor Alert: Prudential Investment Management Services LLC was fined $1 Million for disseminating inaccurate information re variable annuities https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/citigroup-global-markets-inc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584737405073-RH0UPNUDRMRQH23T185Q/9.jpg Blog - Investor Alert: Citigroup Global Markets Inc. was censured and fined $225,000 for failing to supervise https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/spencer-edwards-inc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584736611417-N3D4KS2M3A7GZK2AE7DS/8.jpg Blog - Investor Alert: Spencer Edwards, Inc. was censured and fined $3.4 Million for failing to carefully scrutinize transactions https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/virtu-americas-llc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584736332214-HB5HHTLTNZ9MQQMN7LGP/7.jpg Blog - Investor Alert: Virtu Americas LLC was censured and fined $125,000 for not maintaining a reasonable written methodology https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/wintrust-investments-llc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584735956921-JVVXYCPX6BOA2P4T6X0N/6.jpg Blog - Investor Alert: Wintrust Investments LLC was censured and fined $35,000 for failing to exercise reasonable diligence https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/merrill-lynch-pierce-fenner-smith-incorporated monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584735610294-RNVMHGPQCJJEBH468RK2/5.jpg Blog - Investor Alert: Merrill Lynch was censured and fined $150,000 for executing municipal securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/dash-financial-technologies-llc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584735097674-J66M1EQWA5M25INZTVJA/4.jpg Blog - Investor Alert: Dash Financial Technologies LLC was censured and fined $90,000 for transmitting inaccurate Reportable Order Events https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/apex-clearing-corporation monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584734839996-XU5Q5V8ZQQMHCEJEOZNG/3.jpg Blog - Investor Alert: Apex Clearing Corporation was censured and fined $250,000 for failing to supervise https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/wilson-davis-co-inc monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584734581970-12Z1ID519GGK2K078HRJ/2.jpg Blog - Investor Alert: Wilson-Davis & Co., Inc. was fined $1,100,000 for failing to establish supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/03-20-2020/lek-securities-corporation monthly 0.5 2020-03-23 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584733886664-RXLVIV6TTN71SNRGWGBC/1.jpg Blog - Investor Alert: Lek Securities Corporation was suspended and fined $200,000 for failing to implement AML policies https://theinvestmentattorneys.com/investment-fraud-blog/2020/3/19/phx-financial monthly 0.5 2020-03-19 https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/-oppenheimer monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584537148670-KFXJIRD8L3E80PKZATLF/image-asset.jpeg Blog - Investor Alert: Oppenheimer & Co. was ordered to pay $3.8 Million for Unit Investment Trust (UTI) failures https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/-merrill-lynch monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584537148670-KFXJIRD8L3E80PKZATLF/image-asset.jpeg Blog - Investor Alert: Merrill Lynch was fined for failing to supervise custodial (UTMA and UGMA) accounts https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/-lpl-financial monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584537148670-KFXJIRD8L3E80PKZATLF/image-asset.jpeg Blog - Investor Alert: LPL Financial LLC was fined for failing to supervise custodial (UTMA and UGMA) accounts https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/-morgan-stanley monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584537148670-KFXJIRD8L3E80PKZATLF/image-asset.jpeg Blog - Investor Alert: Morgan Stanley Smith Barney LLC was fined for failing to supervise custodial (UTMA and UGMA) accounts https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/-jp-morgan monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584537148670-KFXJIRD8L3E80PKZATLF/image-asset.jpeg Blog - Investor Alert: JP Morgan Securities LLC was fined for failing to supervise custodial (UTMA and UGMA) accounts https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/-citigroup-global-markets monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584537148670-KFXJIRD8L3E80PKZATLF/image-asset.jpeg Blog - Investor Alert: Citigroup Global Markets Inc. was fined for failing to supervise custodial (UTMA and UGMA) accounts https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/credit-suisse monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583938152503-JXUJWSWEE7X824JVUAS1/image-asset.jpeg Blog - Investor Alert: Credit Suisse Securities LLC was fined $6.5 Million for supervision and market access violations https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/robinhood-financial monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583938152503-JXUJWSWEE7X824JVUAS1/image-asset.jpeg Blog - Investor Alert: Robinhood Financial was fined $1.25 Million for best execution violations https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/samuel-lek monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583938152503-JXUJWSWEE7X824JVUAS1/image-asset.jpeg Blog - Investor Alert: Samuel Lek and Lek Securities Corporation was permanently banned for trading violations https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/mercer-hicks-iii monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584544213141-48ZQ9TXXGDCF042BGLQJ/image-asset.jpeg Blog - Investor Alert: Mercer Hicks III was named in a FINRA Complaint for recommending unsuitable investments https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/bryce-patrick-jenney monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584544057696-VGGNGZX713SSRL5GN4L4/image-asset.jpeg Blog - Investor Alert: Bryce Patrick Jenney was named in FINRA Complaint for failing to provide information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/robert-henderson monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584543833291-Z75XDIE1Y4BIF7R94JT1/image-asset.jpeg Blog - Investor Alert: Robert Henderson was named in a FINRA Complaint for failing to provide written notice to his firm https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/kane-h-waller monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584543664204-PIPFI1L6A0KK6SGOETY8/image-asset.jpeg Blog - Investor Alert: Kane H. Waller was name in FINRA Complaint for sharing customers’ material non-public block order info https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/bruno-henrique-silva monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584543208608-FLCLAK6RM2JU84STK9C5/image-asset.jpeg Blog - Investor Alert: Bruno Henrique Silva was suspended and fined $15,000 for maintaining inaccurate books and records https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/joseph-monroe-lawrence-iii monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584543047886-W5W32NFR09U5F4PW5I1C/image-asset.jpeg Blog - Investor Alert: Joseph Monroe Lawrence III was suspended and fined $5,000 for executing trades totaling $275,000 https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/howard-brian-landers monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584539707549-VWCUIES5VGECL7BMLOB3/image-asset.jpeg Blog - Investor Alert: Howard Brian Landers was suspended for associating with a member firm while disqualified https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/john-charles-carneglia monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584539512630-9WPPVDWU8IBVWEE8XGE6/image-asset.jpeg Blog - Investor Alert: John Charles Carneglia was suspended and fined $15,000 for outside business activity violations https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/glen-joseph-webster monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584539299073-6EJ19GNLM4XS4YDDBNSM/image-asset.jpeg Blog - Investor Alert: Glen Joseph Webster was suspended for borrowing $10,000 from a securities customer https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/thomas-michael-grbelja monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584539097279-BJQVXGUKZ6CW1QVM2E0T/image-asset.jpeg Blog - Investor Alert: Thomas Michael Grbelja was suspended and fined $5,000 for serving as a director of a publicity-traded company https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/jonathan-gerald-schnell monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584538932942-2KQYBKR9JSKMLFGJSA37/image-asset.jpeg Blog - Investor Alert: Jonathan Schnell was suspended and fined $5,000 for making false entries in his member https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/-cecil-allen-ross monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584538721092-3ZFREI4N32NWSWFMWLL7/image-asset.jpeg Blog - Investor Alert: Cecil Allen Ross was suspended and fined $5,000 for engaging in an unsuitable pattern of short-term trading https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/francisco-javier-valenzuela monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584538448528-0VLCUZ9ZJFZUF9X2NUXZ/image-asset.jpeg Blog - Investor Alert: Francisco Javier Valenzuela was suspended and fined $10,000 for failing to disclose tax lien https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/ezri-shechter monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584538286878-2FVF7ENKGRZPWA1PA5UJ/image-asset.jpeg Blog - Investor Alert: Ezri Shechter was suspended and fined $12,500 for having customers sign blank trading forms https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/-thomas-walter-molteni monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584537148670-KFXJIRD8L3E80PKZATLF/image-asset.jpeg Blog - Investor Alert: Thomas Walter Molteni was suspended and fined $5,000 for failing to disclose federal tax liens https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/robert-p-allen monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584536952030-1NEGBYFZ5WA3LS4A6HQO/image-asset.jpeg Blog - Investor Alert: Robert P. Allen was suspended and fined $5,000 for engaging in an outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/william-johnston-darby monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584536709488-MJPNOMEU66G1MAOC5PIO/image-asset.jpeg Blog - Investor Alert: William Johnston Darby was suspended and fined $7,500 for having inaccurate books and records https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/louis-ward monthly 0.5 2020-03-20 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584536316295-2VADGYB3R0131C9ZDEDT/image-asset.jpeg Blog - Investor Alert: Louis Ward was suspended and fined $10,000 for failing to supervise his member firm https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/brett-david-levinson monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584536100224-ALKYA95GLUOGYRRZ1GUC/image-asset.jpeg Blog - Investor Alert: Brett David Levinson was suspended and fined $5,000 for improperly disclosed personal information of a customer https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/harvey-frank monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584535873764-DU98XVYSFZEFAVSFN1IN/image-asset.jpeg Blog - Investor Alert: Harvey Frank was suspended and fined $5,000 for improperly disclosed personal information of customers https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/kathryn-renee-charpie monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584535698405-3G2TSS29U0RTBGR8KWCE/image-asset.jpeg Blog - Investor Alert: Kathryn Renee Charpie was suspended and fined $5,000 for borrowing $10,100 from a customer https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/andrew-joseph-fairchild monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584535510898-LSFH4FP9IINFJEXO5M7H/image-asset.jpeg Blog - Investor Alert: Andrew Joseph Fairchild was suspended and fined $7,500 for impersonating customers https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/jerry-michael-wells monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584534858353-S5EJNEYTVBEP26RDJ4YU/image-asset.jpeg Blog - Investor Alert: Jerry Michael Wells was suspended and fined $5,000 for variable annuity sales violations https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/robert-renteria monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584534687141-3CJ57DZ5XZ9PTEW8FAGA/image-asset.jpeg Blog - Investor Alert: Robert Renteria was suspended and fined $5,000 for borrowing $7,500 from customers https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/john-anthony-borsellino monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584534453501-KATQCZAHN22CX8AS2WSQ/image-asset.jpeg Blog - Investor Alert: John Anthony Borsellino was suspended and fined $5,000 for recommending unsuitable securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/anthony-pace monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584534107482-8YMSFOHEFS9M8481M559/image-asset.jpeg Blog - Investor Alert: Anthony Pace was suspended and fined $5,000 for failing to supervise https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/monica-jade-meyer monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584533524804-0UMQIIN1H6ZE5S632EGT/image-asset.jpeg Blog - Investor Alert: Monica Jade Meyer was barred for converting $2,060 from co-worker https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/ramon-esparza monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584533108875-C59HG3G8ZIQJ9BQ6AIXR/image-asset.jpeg Blog - Investor Alert: Ramon Esparza was barred for refusing to produce information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/gerald-thomas-coyne monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584532978895-4YWNDWPZ0TEHIEBJ6ML6/image-asset.jpeg Blog - Investor Alert: Gerald Thomas Coyne was barred for refusing on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/rachel-lorenzo-tibbie monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584532687909-PX3KUT59IO9HQ760RDBM/image-asset.jpeg Blog - Investor Alert: Rachel Lorenzo Tibbie was barred for refusing to provide documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/james-daniel-dmeo monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584532430132-H2Y7D8NXPZIGMJYZ9JE2/image-asset.jpeg Blog - Investor Alert: James Daniel D’Meo was barred for failing to provide documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/michael-royce-minghenelli monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584531150025-WHYPSFEW7NG253C5PML7/image-asset.jpeg Blog - Investor Alert: Michael Royce Minghenelli was barred for converting $200 https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/roxana-sophia-mckinney monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584529354261-14MOF6S06KFSXL87RDSB/image-asset.jpeg Blog - Investor Alert: Roxana Sophia McKinney was barred for failing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/cambridge-investment-research-inc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584528864496-ZS5TMTL5JEMYA4LPT4R9/image-asset.jpeg Blog - Investor Alert: Cambridge Investment Research, Inc. was censured and fined $150,000 for failing to supervise UITs https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/td-ameritrade-inc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584527770424-L46T7OBVLPNMFUKF1EXZ/image-asset.jpeg Blog - Investor Alert: TD Ameritrade, Inc. was censured and fined $250,000 for options trading violations https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/microventure-marketplace-inc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584526493273-F8N563OLC9VHDJUHFKNM/image-asset.jpeg Blog - Investor Alert: Microventure Marketplace Inc. was censured and fined $40,000 for failing to file the private placement https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/oppenheimer-co-inc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1584525790183-RN88G4W3RE8AKJGOYUNY/image-asset.jpeg Blog - Investor Alert: Oppenheimer & Co. Inc. was censured and fined $85,000 for failing to record Not Held terms and conditions https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/sg-americas-securities-llc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583940829258-F8MGXRYEKJ8CRL64EX62/image-asset.jpeg Blog - Investor Alert: SG Americas Securities, LLC was censured and fined $30,000 for violating Regulation SHO https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/goldman-sachs-co-llc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583939971932-XRYTQAOS626C1UPBRL61/image-asset.jpeg Blog - Investor Alert: Goldman Sachs & Co. LLC was censured and fined $130,000 for municipal bond trading violations https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/first-financial-equity-corporation monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583938758623-Q5V3UP0LIIFLULVPR6KP/image-asset.jpeg Blog - Investor Alert: First Financial Equity Corporation was censured and fined $200,000 for failing to file amended Form U4s https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/cowen-and-company monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583938430508-6Y5Z3KPM3VKBXX0B6VVP/image-asset.jpeg Blog - Investor Alert: Cowen and Company was censured and fined $120,000 for violating the Securities Exchange Act of 1934 Rule 101 https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/jefferies-execution-services-inc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583938152503-JXUJWSWEE7X824JVUAS1/image-asset.jpeg Blog - Investor Alert: Jefferies Execution Services, Inc. was censured and fined $215,000 for failing to establish supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/nomura-securities-international-inc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583937361824-2679U5AOBO3UGLK2LVWL/image-asset.jpeg Blog - Investor Alert: Nomura Securities International, Inc. was censured and fined $300,000 for supervisory failures https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/kgs-alpha-capital-markets monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583937160591-3WGR43H1ZSLK4M9HSIZT/image-asset.jpeg Blog - Investor Alert: KGS-Alpha Capital Markets was censured and fined $30,000 for failing to report to the TRACE https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/key-investment-services-llc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583936745227-4G3MK066XCUMXPR4RWDT/image-asset.jpeg Blog - Investor Alert: Key Investment Services LLC was censured and fined $425,000 for failing to establish supervisory systems https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/puma-capital-llc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583936447159-W1GHDJK0TV115MANDAIW/image-asset.jpeg Blog - Investor Alert: PUMA Capital, LLC was censured and fined $15,000 for failing to implement adequate OTC policies https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/da-davidson-co monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583936109480-8WLLEQEIWSAABE7T85Z1/image-asset.jpeg Blog - Investor Alert: D.A. Davidson & Co. was censured and fined $85,000 for providing inaccurate statements https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/international-assets-advisory-llc- monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583935153210-JR2T4I9ZI6J50U0WV4F6/image-asset.jpeg Blog - Investor Alert: International Assets Advisory, LLC was censured and fined failing to establish supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/aeon-capital-inc monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583933586136-9RRFLUS48Y4A6XBCRQUS/image-asset.jpeg Blog - Investor Alert: Aeon Capital Inc. was suspended and fined $45,000 for failing to comply with the Taping Rule https://theinvestmentattorneys.com/investment-fraud-blog/03-07-2020/chelsea-morgan-securities-inc-dba-chelsea-financial-services monthly 0.5 2020-03-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583933125161-0ADZTR7PZOKPP7MTU68A/image-asset.jpeg Blog - Investor Alert: Chelsea Morgan Securities, Inc. was censured and fined $15,000 for failing to establish and maintain a supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/03-18-2020/ami-forte monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578779083799-RWXFPT8UTIF06709WS61/image-asset.jpeg Blog - Investor Alert: Ami Forte was barred by FINRA for churning account of elderly client with dementia for $9Million https://theinvestmentattorneys.com/investment-fraud-blog/03-18-2020/chales-lawrence monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578779083799-RWXFPT8UTIF06709WS61/image-asset.jpeg Blog - Investor Alert: Charles Lawerence was barred by FINRA for churning account of elderly client with dementia for $9Million https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/erik-patrick-pica-waebt monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578946709945-XUUA9R2UCDBDAPSCQ9MS/image-asset.jpeg Blog - Investor Alert: Erik Patrick Pica was named in a FINRA complaint for converting and misusing $200,000 from an elderly customer https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/daniel-joseph-arcuri-jr monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578946477417-6JH9RX7QSKBQT3Q0H93K/image-asset.jpeg Blog - Investor Alert: Daniel Joseph Arcuri Jr. was name in a FINRA complaint for failing to appear and testify for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/martin-david-batstone monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578946258423-A47YNBNUXEPGIOMARFJ1/image-asset.jpeg Blog - Investor Alert: Martin David Batstone was named in a FINRA complaint for violating FINRA Rule 2020 https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/john-lodge-farmer-jodi-oyler-padgett-and-charles-edwin-taylor monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578945693783-2EO9NHQSAMOAIBO78TVJ/image-asset.jpeg Blog - Investor Alert: John Lodge Farmer, Jodi Oyler Padgett and Charles Edwin Taylor for they engaged in unapproved outside business https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/michael-george-king monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578945270400-UKRAYABBH5VDGEMRUC45/image-asset.jpeg Blog - Investor Alert: Michael George King was suspended and fined $20,000 for co-authoring research reports https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/daniel-patrick-slattery monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578944347709-FQIOYOCAV2MDXHRK72LR/image-asset.jpeg Blog - Investor Alert: Daniel Patrick Slattery was suspended and fined $7,500 for failing to disclose to his member firms https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/robert-david-meyers monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578944038133-YNU3CRW4U6WJC54439KW/image-asset.jpeg Blog - Investor Alert: Robert David Meyers was suspended and fined $20,000 or participating in private securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/jennifer-lyn-mckay monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578943738419-PQC69G5BL6QULAXBTU7G/image-asset.jpeg Blog - Investor Alert: Jennifer Lyn McKay was suspended and fined $5,000 for altering documents https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/steven-tarasius-yellen monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578942915109-8X3H3WJNOB3A4YDLI8SZ/image-asset.jpeg Blog - Investor Alert: Steven Tarasius Yellen was suspended and fined $25,000 by regulators https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/richard-craig-berg monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578942557756-WY8BOFMY0DDD25RH5AD6/image-asset.jpeg Blog - Investor Alert: Richard Craig Berg was suspended and fined $10,000 or failing to timely notify his member firm of outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/charles-harper-bridgers monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578942165423-AHU6QWIN16ORCIWVYQ39/image-asset.jpeg Blog - Investor Alert: Charles Harper Bridgers was suspended and fined $10,000 for entering municipal-bond orders in a customer’s brokerage account https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/mark-andrew-cramer monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578941978121-H23TA1N6J15ESA2SI5MR/image-asset.jpeg Blog - Investor Alert: Mark Andrew Cramer was suspended and fined $5,000 for forging a customer’s signature on an application https://theinvestmentattorneys.com/investment-fraud-blog/01-14-2020/erlloisse-flores-magan monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578941653338-1EF4TTYHZVXRZF3SQHYL/image-asset.jpeg Blog - Investor Alert: Erlloisse Flores Magan was suspended and fined $10,000 for failing to give prior written notice https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/chad-andrew-perkins monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578780503548-T3MFC3H4ABCNTUFGAZTI/image-asset.jpeg Blog - Investor Alert: Chad Andrew Perkins was suspended and fined $5,000 for failing to timely amend his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/michael-edward-olinde monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578780276202-ZEM5CPAHIG7EKNW17943/image-asset.jpeg Blog - Investor Alert: Michael Edward Olinde was suspended and fined $5,000 for engaging in an outside business https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/-william-george-davis monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578779755750-EFOWFGTUGX7PVR448ILC/image-asset.jpeg Blog - Investor Alert: William George Davis was suspended and fined $5,000 for mismarking trades in customer https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/william-j-schnepp monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578779519109-9CXRNTFP134Z7GO0QR5K/image-asset.jpeg Blog - Investor Alert: William J. Schnepp was suspended and fined $5,000 for accepting a power of attorney https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/james-marten-lamont monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578779303407-D0ECH8X2XKQ3WHRGNZQ7/image-asset.jpeg Blog - Investor Alert: James Marten Lamont was suspended and fined $10,000 for engaging in private securities transactions without approval https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/peter-allan-earp monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578779083799-RWXFPT8UTIF06709WS61/image-asset.jpeg Blog - Investor Alert: Peter Allan Earp was suspended and fine $10,000 for falsifying a form https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/brian-daniel-parker monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578778875404-62Y95DFVC16OBJZFN7L3/image-asset.jpeg Blog - Investor Alert: Brian Daniel Parker was suspended and fine $10,000 for directing his assistant to impersonate a customer https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/ronald-james-knight monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578778365597-SQKFBYWVSK32U5I00YHK/image-asset.jpeg Blog - Investor Alert: Ronald James Knight was barred for converting funds from his member firm https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/jefferey-william-dyra monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578777174227-XIZY6V0NNGA23TEQV78J/image-asset.jpeg Blog - Investor Alert: Jefferey William Dyra was barred for refusing to produce documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/oscar-nunez monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578776407701-RUCU674H17LKCD992UVL/image-asset.jpeg Blog - *Investor Alert: Oscar Nunez was barred for for misusing and converting an elderly customer’s funds https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/stuart-blake-nichols monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578773908588-J6O1MP49EJ0YPLFIPKKY/image-asset.jpeg Blog - Investor Alert: Stuart Blake Nichols was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/wessam-baiz monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578773676433-QWMVDDFAXM3E73IK1BR1/image-asset.jpeg Blog - Investor Alert: Wessam Baiz was barred for refusing to provide information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/donna-marie-pitts monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578773401008-CT24PQMEX53X3WOSROWA/image-asset.jpeg Blog - Investor Alert: Donna Marie Pitts was barred for converting $100,079 from transfer agent https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/dennis-albert-mehringer-jr monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578772994578-4LDZE6MY8C1336KTH1IE/image-asset.jpeg Blog - Investor Alert: Dennis Albert Mehringer Jr. was barred for refusing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/john-michael-elias-saad monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578772776449-RBOYIMFLKSLI6EL6B70R/image-asset.jpeg Blog - Investor Alert: John Michael Elias Saad was barred for submitting false expense reports https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/elton-norman monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578772412182-E5BQB59B72MVR74KIDL7/image-asset.jpeg Blog - Investor Alert: Elton Norman was barred for refusing to provide documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/dawn-bennett monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578772047616-8ZXYPFLTICH0JU7QJ3Z9/image-asset.jpeg Blog - Investor Alert: Dawn Bennett was barred or failing to respond to FINRA’s fraud investigation https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/daniel-gordon-maughan monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578771246065-INMDK9HJ1JQJSVA3K0LT/image-asset.jpeg Blog - Investor Alert: Daniel Gordon Maughan was barred for violating Section 10(b) of the Exchange Act of 1934, and Rule 10b-5 https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/jason-lee-ballor monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578770446495-I1MFLM9ONCOARACV8Y3S/image-asset.jpeg Blog - Investor Alert: Jason Lee Ballor was barred for refusing to appear for on-the-record testimony and provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/louis-mark-miller monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578770252906-CNBLKWUZKOQX3MYLCXLU/image-asset.jpeg Blog - Investor Alert: Louis Mark Miller was barred for failing to provide documents and information and appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/maureen-ann-scalzo monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578770031048-GG2GHK2FQJDF4XKS1F6V/image-asset.jpeg Blog - Investor Alert: Maureen Ann Scalzo was barred for declining to appear for on-the-record testimony https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/bradley-carl-reifler monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578769807781-5NJS58BJA98YHRWFK322/image-asset.jpeg Blog - Investor Alert: Bradley Carl Reifler was barred refusing to answer FINRA’s questions https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/stephen-john-klinger monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578769570641-7CD4AFWTQJRAVYALHM6A/image-asset.jpeg Blog - Investor Alert: Stephen John Klinger was barred for refusing to provide documents and information to FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/aarti-hinal-patel monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578768669723-7TNX13ZLZBSQGZ31FVSX/image-asset.png Blog - Investor Alert: Aarti Hinal Patel was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/jaime-michael-westenbarger monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578768325333-1GTEFP0HODWS7RDXNFN4/image-asset.jpeg Blog - Investor Alert: Jaime Michael Westenbarger was barred for failing to provide documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/michael-daquila monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578768119653-BHG5P0Q7TN1VE386LIAG/image-asset.jpeg Blog - Investor Alert: Michael D’Aquila was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/benjamin-benoit-lowder-jr monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578767932836-QD3AQ11A7O25253RW6DY/image-asset.jpeg Blog - Investor Alert: Benjamin Benoit Lowder Jr. was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/cristina-sabengsy monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578767609249-IHI06AVZ69412NHJN5EH/image-asset.jpeg Blog - Investor alert: Cristina Sabengsy was barred for forging customer signatures https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/aurora-capital-llc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578767435538-AR8TLASARLZFMT5BHGZE/image-asset.jpeg Blog - Investor Alert: Aurora Capital LLC was censured and fined $15,000 for failing to meet its obligations https://theinvestmentattorneys.com/investment-fraud-blog/01-11-2020/canaccord-genuity-llc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578698932867-3O9NHEWZ1BYANNF0PSGR/image-asset.jpeg Blog - Investor Alert: Canaccord Genuity LLC was censured and fined $80,000 for failing to timely close out fail to deliver positions https://theinvestmentattorneys.com/investment-fraud-blog/01-11-2020/beta-capital-securities-llc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578698637950-4JCJY8BSQTWBMT8GKSEF/image-asset.jpeg Blog - Investor Alert: Beta Capital Securities LLC was censured and fined $50,000 for failing to timely report to TRACE transactions https://theinvestmentattorneys.com/investment-fraud-blog/00-11-2020/world-equity-group-inc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578698400221-DBV8N61HYUNANXRIED62/image-asset.jpeg Blog - Investor Alert: World Equity Group, Inc. was censured and fined $18,500 for for failing to report to the TRACE transactions https://theinvestmentattorneys.com/investment-fraud-blog/01-11-2020/wallachbeth-capital-llc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578697869317-1KUL0WWJ2W7X8V3J18HN/image-asset.jpeg Blog - Investor Alert: Wallachbeth Capital LLC was censured and fined $60,000 for supervisory failures https://theinvestmentattorneys.com/investment-fraud-blog/01-11-2020/rbc-capital-markets-llc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578697640677-KLSXRUCYUFL7UADEHXU5/image-asset.jpeg Blog - Investor Alert: RBC Capital Markets, LLC was censured and fined $2,900,000 for supervisory failures https://theinvestmentattorneys.com/investment-fraud-blog/01-11-2020/insight-securities-inc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578697176627-9UR2Y2IQJWCUGUYV1BW1/image-asset.jpeg Blog - Investor Alert: Insight Securities, Inc. was censured and fined $30,000 for their corporate bond transactions traded for its own account failed https://theinvestmentattorneys.com/investment-fraud-blog/01-11-2020/apex-clearing-corporation monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578696953036-5DV74FMXO7TEJVTWYNAW/image-asset.jpeg Blog - Investor Alert: Apex Clearing Corporation was censured and fined $140,000 for supervision violations https://theinvestmentattorneys.com/investment-fraud-blog/01-11-2020/dougherty-company-llc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578696648256-ESDYDKIL4313DCA3DQ5A/image-asset.jpeg Blog - Investor Alert: Dougherty & Company LLC was censured and fined $25,000 for failing to comply with an arbitration award https://theinvestmentattorneys.com/investment-fraud-blog/01-11-2020/abn-amro-clearing-chicago-llc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578696387967-4WQKZG2BVLMZCD0PHXLD/image-asset.jpeg Blog - Investor Alert: ABN AMRO Clearing Chicago LLC was censured and fined $150,000 https://theinvestmentattorneys.com/investment-fraud-blog/01-11-2019/thomas-francis-sullivan monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1578692692007-2E25D01MVPH22V5NK5A7/image-asset.jpeg Blog - Investor Alert: Thomas Francis Sullivan was fined $5,000 and suspended $45,000 for violating net capital requirements https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/thomas-john-lykos-jr monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576432229765-SC40KCOFDI7PQDUD5ZR4/image-asset.jpeg Blog - Investor Alert: Thomas John Lykos Jr. was named in a FINRA complaint for cheating on his Series 24 exam https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/16/halil-kozi monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576432011521-50CZU1ORUIUB5SR1EK5W/image-asset.jpeg Blog - Investor Alert: Halil Kozi was named in a FINRA complaint for willfully violated Section 10(b) of the S.E.A. of 1934, Rule 10b-5 https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/raleigh-edward-kraft monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576431421735-E4JXMWM0K4RDHMTFFICK/image-asset.jpeg Blog - Investor Alert: Raleigh Edward Kraft was fined $5,000 and suspended for using personal email with clients https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/david-manor monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576431224761-4L4OZ8KS244W5UL2DLF6/image-asset.jpeg Blog - Investor Alert: David Manor was suspended for for participating in an unapproved outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/david-c-vanech monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576430975123-EJHF24S5EG3G28611UK5/image-asset.jpeg Blog - Investor Alert: David C. Vanech was fined $3,000, suspended for cheating on his continuing education training https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/-lori-rood-thompson monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576430716443-MADHUQSHHPWHUZU5AAWU/image-asset.jpeg Blog - Investor Alert: Lori Rood Thompson was fined $5,000 and suspended for unauthorized transfers totaling $367,387.57 https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/christopher-lowell-childers monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576430490240-QCV70SF1CJLW4J8ZEVD1/image-asset.jpeg Blog - Investor Alert: Christopher Lowell Childers was fined $5,000 and suspended for failing to timely execute a customer’s transaction https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/shirley-anne-weston monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576430249150-809Q9VHUZJ8I0G3B1COH/image-asset.jpeg Blog - Investor Alert: Shirley Anne Weston was fined $7,500 and suspended for borrowing money from client https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/16/-robert-patrick-pachciarz monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576429655116-N7NV9E1GKWH8DW0F9BV5/image-asset.jpeg Blog - Investor Alert: Robert Patrick Pachciarz was fined $5,000 and suspended for engaging in an undisclosed and unapproved private securities transaction https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/melissa-ann-strouse monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576429434068-PLXOZ0INRR4SBM0XSX00/image-asset.jpeg Blog - Investor Alert: Melissa Ann Strouse was fined $20,000 and suspended for failing to timely update Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/clay-gavin-erickson monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576429220471-J1S47L49K4P5LGSFL6GI/image-asset.jpeg Blog - Investor Alert: Clay Gavin Erickson was fined $7,500 and suspended for effecting unauthorized transactions, totaling $5,317,233.32 https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/16/jeffery-lawrence-vasiloff monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576429005681-04U8F695SAFZTBUW6Q9O/image-asset.jpeg Blog - Investor Alert: Jeffery Lawrence Vasiloff was fined $2,500 and suspended for trading violations https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/16/daniel-william-staudacher monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576428597151-ZD8C2EZPZO6XXE8KZGR4/image-asset.jpeg Blog - Investor Alert: Daniel William Staudacher was fined $10,000 and suspended for engaging in the securities business while suspended https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/robert-charles-mcnamara monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576428349200-D41A3PREVYRU0J4OM3JJ/image-asset.jpeg Blog - Investor Alert: Robert Charles McNamara was fined $10,000, suspended for failing to disclose brokerage accounts https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/16/-victor-polakoff monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576427796309-BNWELC364DHEYJ3W3BF9/image-asset.jpeg Blog - Investor Alert: Victor Polakoff was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/hannah-burgess monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576421385474-P8JL43Z78635SGIYC982/image-asset.jpeg Blog - Investor Alert: Hannah Burgess was barred for converting approximately $1,869 belonging to a customer https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/keith-wakefield monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576421214727-GK18T8PY3CNP1ND4WQBB/image-asset.jpeg Blog - Investor Alert: Keith Wakefield was barred refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/joseph-hersey-pratt monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576421063485-8AFSSE7H5IKZSZTGAG1O/image-asset.jpeg Blog - Investor Alert: Joseph Hersey Pratt was barred for misusing the confidential information obtained from insiders at a public biopharmaceutical company https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/kevin-scott-gunnip monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576420825433-MX00LOOFJDQ249UUOQ6T/image-asset.jpeg Blog - Investor Alert: Kevin Scott Gunnip was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/donald-edward-teboe monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576420650118-JGF7ZULF225LV2QD7MJV/image-asset.jpeg Blog - Investor Alert: Donald Edward Teboe was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/-whitney-simon monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576420435963-ZGV4XA52PH2CF0BBVXIY/image-asset.jpeg Blog - Investor Alert: Whitney Simon was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/thomas-stappas monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576420096524-LA11DWJMES64LSHGGKC8/image-asset.jpeg Blog - Investor Alert: Thomas Stappas was barred for refusing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/clayton-holman-wertz monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576419956667-14VRRTJ1IA044FEPW1B1/image-asset.jpeg Blog - Investor Alert: Clayton Holman Wertz was barred for creating false account statements for a customer https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/heather-joy-baker monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576419692303-GPDFEGX77X9917WYJWCG/image-asset.jpeg Blog - Investor Alert: Heather Joy Baker was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/jack-david-stone monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576419496220-DBWKRLPIP5PLRXLNMGGK/image-asset.jpeg Blog - Investor Alert: Jack David Stone was refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/apostolos-nicolas-pitsironis monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576419316333-PHTE2OAAUFOYAG3I5OOJ/image-asset.jpeg Blog - Investor Alert: Apostolos Nicolas Pitsironis was barred for converting $411,000 in customer funds https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/michael-barry-carter monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576418933190-4NLPMUQ2UDIMA9DHGOIX/image-asset.jpeg Blog - Investor Alert: Michael Barry Carter was barred for failing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/stefan-anton-pastor monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576418773636-XH46N466416VE1R4Q43Z/image-asset.jpeg Blog - Investor Alert: Stefan Anton Pastor was barred for providing false information to FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/hilltop-securities-inc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576418588697-QMRAUX3B4DZZAZTIBSM3/image-asset.jpeg Blog - Investor Alert: Hilltop Securities Inc. was censured and fined $250,000 for supervision failures https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/wellington-shields-co-llc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576418164589-QA5NHFYEJPGSTYBQFTTE/image-asset.jpeg Blog - Investor Alert: Wellington Shields & Co., LLC was censured and fined $100,000 for failing to keep accurate records of customer confirmation and trade blotters https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/ace-diversified-capital-inc monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576417732253-36LJVZ1Y5HR8CP504D11/image-asset.jpeg Blog - Investor Alert: Ace Diversified Capital, Inc. was censured and fined $20,000 for failing to supervise the sale of ETFs and ETNs https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15-bruce-howard-jordan monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576417433830-NME6J6NY7AX29TBUDKLU/image-asset.jpeg Blog - Investor Alert: Bruce Howard Jordan was fined $5,000 and suspended for inadequate supervision https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15bruce-meyers monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576417146137-5A8N02W9WPD0RRJ7QT75/image-asset.jpeg Blog - Investor Alert: Bruce Meyers was barred for failing to establish and maintain a reasonable supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/2019/12/15/darren-michael-kubiak monthly 0.5 2020-03-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1576413891782-PHLU0MI2C13NQCR1EEDI/image-asset.jpeg Blog - Investor Alert: Darren Michael Kubiak was fined $5,000 and suspended for failing to perform a reasonable basis suitability analysis of LIETFs https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/jesse-gil-iii monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574512438386-5G3J1WI15O8QDH0LVJRV/image-asset.jpeg Blog - Investor Alert: Jesse Gil III was named in a FINRA complaint alleging that he converted approximately $2,500 from an 82-year-old widow https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/gurpreet-singh-chandhoke-and-stephen-fitzgerald-shea monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574511665323-MRRHRF3L6OD433J3B2U5/image-asset.jpeg Blog - Investor Alert: FINRA Filed Complaint against Gurpreet Singh Chandhoke and Stephen Fitzgerald Shea https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/ricky-alan-mantei monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574511322381-LNEDYV580GJ2W0MQN8BN/image-asset.jpeg Blog - Investor Alert: Ricky Alan Mantei was named a Respondent in FINRA Complaint for willful violation of MSRB Rule G-17 https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/william-james-potter monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574511120779-KSZLMEASVD486XVEJHBK/image-asset.jpeg Blog - Investor Alert: William James Potter was barred for converting $25,177.47, a portion of the funds entrusted to him https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/partho-sarathi-ghosh monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574510798469-1TMHNLGCT25XFSEBYWQB/image-asset.jpeg Blog - Investor Alert: Partho Sarathi Ghosh was fined $25,000 and suspended for engaging in outside business activities without providing prior written notice https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/-james-adam-paquette monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574510553759-FT4PAWSDUNFA8HLSM3PU/image-asset.jpeg Blog - Investor Alert: James Adam Paquette was barred for willfully failed to timely update his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/thomas-lee-johnson monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574510214276-R24NS28MNWUMEB9VVNKX/image-asset.jpeg Blog - Investor Alert: Thomas Lee Johnson was barred for converting $1,059,544.98 from his member firm https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/jedediah-elvin-dahl monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574510000073-NTFJE1E6P8HWNMJ9WSRL/image-asset.jpeg Blog - Investor Alert: Jedediah Elvin Dahl was fine $10,000 and suspended for distributing sales materials that failed to comply with FINRA’s content standards https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/vitthal-mathurbmas-patel monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574509783654-3UNQA87KIV4DJXX5UDWM/image-asset.jpeg Blog - Investor Alert: Vitthal Mathurbmas Patel was fine $5,000 and suspended for forging electronic signatures of customers https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/richard-oliver-white monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574509490660-BLNFFN40M29F5X69MPBO/image-asset.jpeg Blog - Investor Alert: Richard Oliver White was fined $10,000 and suspended for structuring currency deposits https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/carlton-jerome-dick monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574509245673-RS1PVN716GK4TG0K8WUV/image-asset.jpeg Blog - Investor Alert: Carlton Jerome Dick was fined $5,000 and suspended for impersonating an associated person of a firm https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/arlyn-roy-stokesbary monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574508841973-IKXCPY601MO1FIVEROOT/image-asset.jpeg Blog - Investor Alert: Arlyn Roy Stokesbary was fine $5,000 and suspended for exercising discretion in customer accounts without written authorization https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/john-hunter-tillotson monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574508672329-59CRN3SPU8850ZPT4ILX/image-asset.jpeg Blog - Investor Alert: John Hunter Tillotson was fined $5,000 and suspended for impersonating customers during telephone conversations https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/scott-richard-riley monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574508491130-CKEL7YXLGQTU70WMQQJ9/image-asset.jpeg Blog - Investor Alert: Scott Richard Riley was suspended for making unauthorized trades in a customer’s account https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/justin-brian-mitchell monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574508305751-FRKZRCCECI26MBHW8CS3/image-asset.jpeg Blog - Investor Alert: Justin Brian Mitchell was fined $2,500 and suspended for engaging in an outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/michael-patrick-nixon monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574507881262-Q2X7YATW2I84DQQBX3C0/image-asset.jpeg Blog - Investor Alert: Michael Patrick Nixon was fined $5,000 and suspended for exercising discretionary trading authority on their behalf without their prior written authorization https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/allen-bernard-holeman monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574507667018-UFP212Z667KYN5BHD967/image-asset.jpeg Blog - Investor Alert: Allen Bernard Holeman was fined $20,000 and suspended for failing to timely amend his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/roger-lee-owens monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574507337431-ICTNBLFK2FD4U2H0SMU2/image-asset.jpeg Blog - Investor Alert: Roger Lee Owens was fined $10,000 and suspended for engaging in private securities transactions without providing notice https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/leonard-john-kuczynski monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574507080126-NNLTY6G52XIUIWRISNHY/image-asset.jpeg Blog - Investor Alert: Leonard John Kuczynski was fine of $10,000 and suspended for engaging in outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/stephen-allen-kelbick monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574506948068-0Z0LY5Z5AAO5M282YL66/image-asset.jpeg Blog - Investor Alert: Stephen Allen Kelbick was fine $5,000 and suspended for exercising discretionary trading authority https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/thomas-raymond-williams-sr monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574506727261-445L924GUG1WUTNGOVRG/image-asset.jpeg Blog - Investor Alert: Thomas Raymond Williams Sr. was fined $10,000 and suspended for omitting material information from email communication to a customer https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/richard-james-coleman monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574506379963-C6JLCUR30POMOE1FRH88/image-asset.jpeg Blog - Investor Alert: Richard James Coleman was fine $15,000 and suspended for unsuitable trading https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/steve-baptist monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574506141477-WRKM7GGN3RK3LWMLWUFP/image-asset.jpeg Blog - Investor Alert: Steve Baptist was fined $5,000 and suspended for unauthorized trading https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/jollene-jill-austin monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574505960021-27588D61180OV21I978D/image-asset.jpeg Blog - Investor Alert: Jollene Jill Austin was fine $5,000 and suspended for borrowing a total of $665,000 from a customer https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/mengxuan-zhang monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574505767055-CHFX0NIGLIX9IMSEDX69/Steve+Kaneski+Investigation Blog - Investor Alert: Mengxuan Zhang was fine $5,000 and suspended for falsifying customer signature https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/ken-kavanagh monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574505512227-08GY6TAM6BOZMUTSADWF/image-asset.jpeg Blog - Investor Alert: Ken Kavanagh was fine $25,000 and suspended for engaging in outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/elizabeth-stockwell monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574461357608-VDH73QJ4EXUQFNQB5Q04/image-asset.jpeg Blog - Investor Alert: Elizabeth Stockwell was fined $5,000 and suspended for impersonating a customer on telephone calls https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/damien-berkowicz monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574460943560-3V0JXT2PTNZRJB76PJUH/image-asset.jpeg Blog - Investor Alert: Damien Berkowicz was fine $5,000 and suspended for failing to amend his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/lori-sullivan-antolovic monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574459765356-95ACO7OTKDTWHOLRM5UT/image-asset.jpeg Blog - Investor Alert: Lori Sullivan Antolovic was suspended and fined $7,500 for failing to confirm an individual's authority https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/matthew-david-albers monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574459358878-ATFWKQI5ZW49ZPNZ4SRK/image-asset.jpeg Blog - Investor Alert: Matthew David Albers was suspended and fined $5,000 for exercising discretionary trading authority on behalf of his customers https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/gerald-lee-brodsky monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574458568818-KBQ3MWE3ZYD6IF863NIW/image-asset.jpeg Blog - Investor Alert: Gerald Lee Brodsky was barred for providing incomplete response to FINRA’s request for documents and information https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/lawrence-james-rizer monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574458166379-R8VWQR6V2RSJ38JRE4GO/image-asset.jpeg Blog - Investor Alert: Lawrence James Rizer was barred for converted $1,979 from the NAIFA which he was serving as president of a local chapter https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/craig-anthony-zabala monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574457812451-ZXNQO0OQDQOM7XMXETYP/image-asset.jpeg Blog - Investor Alert: Craig Anthony Zabala was barred for failing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/kari-ann-buckles monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574457459745-39CI2AF7FVALJUTC9J8U/image-asset.jpeg Blog - Investor Alert: Kari Ann Buckles was barred for converting the funds of an employee of her insurance agency by failing to contribute about $2,264 https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/patrick-emanuel-sutherland monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574454589868-MTRX2ZZOBK0KB2CL7IUU/image-asset.jpeg Blog - Investor Alert: Patrick Emanuel Sutherland was barred for engaging in FINRA while he was statutorily disqualified https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/bobby-wayne-coburn monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574453935392-1C1UDXJXMDQE6BADA14N/image-asset.jpeg Blog - Investor Alert: Bobby Wayne Coburn was barred for refusing to provide information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/-bryan-d-jensen monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574453323538-XUD1J48OS9UA5DEDSXGF/image-asset.jpeg Blog - Investor Alert: Bryan D. Jensen was barred for converting funds of his member firm by obtaining $1,444 https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/gregory-thomas-dean monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574451743656-ISUPJWR73A94LVL40Z1U/image-asset.jpeg Blog - Investor Alert: Gregory Thomas Dean was barred for engaging in quantitatively unsuitable trading https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/michael-eric-johnson monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574452207363-JKE7WZIMCV7KZUBC4V10/image-asset.jpeg Blog - Investor Alert: Michael Eric Johnson was barred for refusing to provide FINRA with requested documents and information https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/brenda-marie-kochel monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574451066830-W9LGLFN04U8ELP4KZ8EU/image-asset.jpeg Blog - Investor Alert: Brenda Marie Kochel was barred for converting funds from her member firm by requesting and obtaining $23,847.24 https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/bryan-joseph-clark monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574450676970-J7RD2R3RP3MO3XB4AMGK/image-asset.jpeg Blog - Investor Alert: Bryan Joseph Clark was barred for failing to disclose outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/lisa-acca monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574450355609-F74NVINI0EFXT798BTN8/image-asset.jpeg Blog - Investor Alert: Lisa Acca was barred for failing to produce certain documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/23/eldridge-foster-parks monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574449850595-416IQ0X74W81EYPZZ9HK/image-asset.jpeg Blog - Investor Alert: Eldridge Foster Parks was barred for failing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/12/-karen-paek monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574449244881-AP1XV4WUEX66EPS6001W/image-asset.jpeg Blog - Investor Alert: Karen Paek was barred for forging the individuals’ electronic signatures https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/13/david-john-volpe monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574448837504-JIBE16JRXAO2ACPZ2Y8M/image-asset.jpeg Blog - Investor Alert: David John Volpe was barred for refusing to produce information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/orlando-vargas monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1516242575445-C5ZO0HCED3F4RAYNPI5T/Steve+Kaneski+Investigation Blog - Investor Alert: Orlando Vargas was barred for converting funds to which he was not entitled https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/beth-ann-hamilton monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574291217639-PBX39MD9C78GKZJ2P08X/image-asset.jpeg Blog - Investor Alert: Beth Ann Hamilton was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/windsor-street-capital monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574290895865-687X7CCQV6VFXTNIUP4C/image-asset.jpeg Blog - Investor Alert: Windsor Street Capital was fined $500,000 for failing to adequately supervise its Chicago office https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/van-clemens-co-incorporated monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574290451842-ZNXNKU679IAL4Y5CG2JZ/image-asset.jpeg Blog - Investor Alert: Van Clemens & Co. Incorporated censured and fined $50,000 for failing to establish and maintain a supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/summit-brokerage-services-inc monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1516242575445-C5ZO0HCED3F4RAYNPI5T/Steve+Kaneski+Investigation Blog - Investor Alert: Summit Brokerage Services, Inc. was censured and fined $40,000 for failing to assign a principal to review the hard-copy correspondence. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/-lime-brokerage-llc monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574289593792-057BIE7H0Y00O4I2IS85/image-asset.png Blog - Investor Alert: Lime Brokerage LLC was censured, fined $625,000 for failing respond to red flags of potentially manipulative trading https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/seven-points-capital-llc monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574289278674-ATQHKIP5E6OF01JVW6WK/image-asset.jpeg Blog - Investor Alert: Seven Points Capital, LLC was censured and fined $20,000 for failing to enforce its written procedures https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/dinosaur-financial-group-llc monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574286971293-4C1O5ILYRJKGS364Y0QN/image-asset.jpeg Blog - Investor Alert: Dinosaur Financial Group, L.L.C was censured and fined $200,000 for failing to timely report municipal securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/dawson-james-securities-inc monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574286469818-NQI6RCK3NEMDBFYOV09K/image-asset.jpeg Blog - Dawson James Securities, Inc. was censured and fined $20,000 for calling telephone numbers that appeared on the national do-not-call list https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/21/innovation-partners-llc monthly 0.5 2020-03-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1574285516197-U1PP6NAUY4L5CKL3GO67/image-asset.jpeg Blog - Investor Alert: Innovation Partners LLC was censured and fined $60,000 for failing to establish, maintain and enforce a supervisory system https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/james-gregory-mckinney monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583500966961-0JMV81VB48GG7CBSK1ZL/image-asset.jpeg Blog - Investor Alert: James Gregory McKinney is the subject of a FINRA complaint for failure to comply with FINRA requests https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/murry-meir-shapero monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583500742197-LMC46OK0KN0ELBRFNS6I/image-asset.jpeg Blog - Investor Alert: Murry Meir Shapero was suspended and fined $20,000 for improper trading https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/rochelle-sophia-shoulders monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583500427300-ZN9V28IG3NUG25JUYKK5/image-asset.jpeg Blog - Investor Alert: Rochelle Sophia Shoulders was suspended and fined for copying customer signatures https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/eugene-nathan monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583500198711-LPXLL279F99OGERMPNHN/image-asset.jpeg Blog - Investor Alert: Eugene Nathan was suspended and fined $5,000 for effecting unauthorized transactions in his customer's IRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/carmelo-arce-alvarez monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583499924465-BROPMUR3NSH15WWK8NX9/image-asset.jpeg Blog - Investor Alert: Carmelo Arce Alvarez was suspended and fined $5,000 for exercising discretion without written authorization https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/seth-michael monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583499609783-UCL1BCW5JX660CZ4OHB5/image-asset.jpeg Blog - Investor Alert: Seth Michael was suspended and fined $5,000 for improperly used his member firm’s funds https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/harold-alan-schwartz monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583499310953-V722CVN3FEH554E6G46Y/image-asset.jpeg Blog - Investor Alert: Harold Alan Schwartz was suspended and fined $5,000 for impersonating a customer https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/david-quentin-kendrick monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583498851635-ROZKLNIHEME1URURTPWV/image-asset.jpeg Blog - Investor Alert: David Quentin Kendrick was suspended and fined $30,000 for engaging in outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/alexander-lycouris monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583497555281-6CHNYTWZUMNPJOLNACQ6/image-asset.jpeg Blog - Investor Alert: Alexander Lycouris was suspended for participating in an outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/gregory-paul-pellizzon monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583496792859-HJPWXQT6NJZ9CC3JBSCC/image-asset.jpeg Blog - Investor Alert: Gregory Paul Pellizzon was suspended and fined $5,000 for failing to disclose a customer’s complaint on his Form U4 https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/michael-jason-collins monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583496130477-KR6S330N3SEOCTVDIBPE/image-asset.jpeg Blog - Investor Alert: Michael Jason Collins was suspended and fined $10,000 for participating in private securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/paul-m-mallory monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583495206602-ULDXVLU6P8QSU7E2M1JA/image-asset.jpeg Blog - Investor Alert: Paul M. Mallory was suspended and fined $5,000 for failing to reasonably supervise a former registered representative https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/fredrick-martin-randhahn monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583494739556-8OTSFOGPT4VUBKH4UQN9/image-asset.jpeg Blog - Investor Alert: Fredrick Martin Randhahn was suspended and fined $5,000 for engaging in private securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/james-joseph-kearney monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583494449636-D44BBDPJYTOKEFOWWXUO/image-asset.jpeg Blog - Investor Alert: James Joseph Kearney was suspended and fined $2,500 for placing improper trades in customer accounts https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/mauricio-abadi monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583494142461-I7P4F3R11FBORYHI4ZOM/image-asset.jpeg Blog - Investor Alert: Mauricio Abadi was suspended and fined $10,000 for removing information about foreign exchange options https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/john-steven-mullaly monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583493800897-32KI0XH3HRM72U2E1HKB/image-asset.jpeg Blog - Investor Alert: John Steven Mullaly was suspended and fined $10,000 for failing to inform his member firm https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/brian-joseph-lockett monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583493452508-R3D36RA6HQKP52M4GB8I/image-asset.jpeg Blog - Investor Alert: Brian Joseph Lockett was suspended and fined $5,000 for participating in a private securities transaction https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/cody-hawkins-fitzgerald monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583492990874-1LXPUM8QLYO12IIJLQOO/image-asset.jpeg Blog - Investor Alert: Cody Hawkins-Fitzgerald was suspended and fined $5,000 for borrowing $10,000 from an elderly customer https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/rockney-francisco-garcia monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583492772142-H5MCFLJ9279AXR1F2JYH/image-asset.jpeg Blog - Investor Alert: Rockney Francisco Garcia was suspended and fined $5,000 for engaging in a check-kiting scheme https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/timothy-robert-millis monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583492001748-L520N8NQPVOTJOGNAY45/image-asset.jpeg Blog - Investor Alert: Timothy Robert Millis was suspended for recommending unsuitable mutual fund transactions https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/john-gunther-hoagland monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583491606025-LX8GEKAWJG491LQWJVBS/image-asset.jpeg Blog - Investor Alert: John Gunther Hoagland was suspended and fined $5,000 for executing unauthorized trades https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/christopher-kozak monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583491140213-2C1NJSRJSPAYRGSI1OV9/image-asset.jpeg Blog - Investor Alert: Christopher Kozak was suspended and fined $10,000 for engaging in an undisclosed outside business activity https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/brendan-james-flick monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583490756346-1M7JA0C9DBNMDM6A5QIY/image-asset.jpeg Blog - Investor Alert: Brendan James Flick was suspended and fined $5,000 for copying and pasting the signature of a customer https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/elizabeth-ann-guarino monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583490460576-WJ7BPAPM5M31OE8I1J49/image-asset.jpeg Blog - Investor Alert: Elizabeth Ann Guarino was suspended and fined $10,000 for unsuitable speculative securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/kim-kahala-kopacka-and-beth-ann-debouvre monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583489669300-B9N33EZTW29LY1YPHEON/image-asset.jpeg Blog - Investor Alert: Beth Ann DeBouvre and Kim Kahala Kopacka were suspended and fined $10,000 for permitting Kopacka’s husband to associate with https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/-michael-radford-severance monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583488919324-KGAL2I2XFWLBXS8Z4PMX/image-asset.jpeg Blog - Investor Alert: Michael Radford Severance was barred for refusing to produce documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/robert-frederick-genito monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583488652131-K36Q5LZ779FZIYXC2OG1/image-asset.jpeg Blog - Investor Alert: Robert Frederick Genito was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/matthew-leon-white monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583488444094-3O5RHZ2WLUSTKZPULE32/image-asset.jpeg Blog - Investor Alert: Matthew Leon White for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/dennis-masaaki-nakamurab monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583488108277-5V38565WT98YLQCZWKV2/image-asset.jpeg Blog - Investor Alert: Dennis Masaaki Nakamura was barred for refusing to appear and provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/gerald-allan-eaton monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583487314673-00XI8DNAK7RY1XHOQRLY/image-asset.jpeg Blog - Investor Alert: Gerald Allan Eaton was barred for failing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/joseph-viet-duy-phan monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583487736420-ZNF52LD0BX7P7A5327YO/image-asset.jpeg Blog - Investor Alert: Joseph Viet Duy Phan was barred for failing to appear and provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/clark-morris-nobil-hwfn3-887y3 monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583487078230-K0Y1TT532A58L7X8EFUJ/image-asset.jpeg Blog - Investor Alert: Clark Morris Nobil was barred for refusing to produce information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/linda-almeida-jay monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583486840398-BNOHS4V1S3T53SU1IZQT/image-asset.jpeg Blog - Investor Alert: Linda Almeida Jay was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/julie-ann-mineard monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583486596493-WED7PBSWQYHUVM3D8CIY/image-asset.jpeg Blog - Investor Alert: Julie Ann Mineard was barred for converting and improperly using approximately $24,044 https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/clint-h-keener monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583486289718-9J1B8Y81241794EH1WLM/image-asset.jpeg Blog - Investor Alert: Clint H. Keener was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/lance-roman-armstrong monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583486086892-DH6OBEQGTU3DYJJTHPXW/image-asset.jpeg Blog - Investor Alert: Lance Roman Armstrong was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/jun-zhou monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583485797864-5KRK6VGWW0IVVJ874T3R/image-asset.png Blog - Investor Alert: Jun Zhou was barred for participating in private securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/philip-joseph-sparacino monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583485345140-1ULIAWGFSGSUA6I4ZJPY/image-asset.jpeg Blog - Investor Alert: Philip Joseph Sparacino was barred refusing to produce information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/gregory-charles-voetsch monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583485082018-U5HPNZCI2KAZ8BOV9X6P/image-asset.jpeg Blog - Investor Alert: Gregory Charles Voetsch was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/ma-rosa-linan-abrego monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583484860652-2EAK28FE0WNTFH2XJUVB/image-asset.jpeg Blog - Investor Alert: Ma Rosa Linan Abrego was barred for refusing to appear for on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/daniel-karol-boyle monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583484628716-I19C7Y7NBXVYDKLNJGHO/image-asset.jpeg Blog - Investor Alert: Daniel Karol Boyle was barred for refusing to provide information or documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/andrew-patrick-yoro monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583484268168-13PZL28XH0HE1Q2SNKKY/image-asset.jpeg Blog - Investor Alert: Andrew Patrick Yoro was barred for cheating on his Series 7 exam https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/bryce-j-vance monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583484038925-6FQUENYZAMHCWN58EMPL/image-asset.jpeg Blog - Investor Alert: Bryce J. Vance was barred for falsifying insurance applications https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/coda-markets monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583483826989-AAAGTXBKH51SGF5RVFZT/image-asset.jpeg Blog - Investor Alert: Coda Markets, Inc was censured and fined $90,000 for failing to report events to regulators https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/nylife-securities-llc monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583483272071-W3KLSF20375Y982D00D3/image-asset.jpeg Blog - Investor Alert: NYLIFE Securities LLC was censured and fined $250,000 for failing to enforce its written procedures https://theinvestmentattorneys.com/investment-fraud-blog/03-06-2020/bgc-financial monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583482501823-VTMPW03V5U2YE5H8YVUX/image-asset.jpeg Blog - Investor Alert: BGC Financial, L.P. was censured and fined $40,000 for failing to immediately execute limit orders https://theinvestmentattorneys.com/investment-fraud-blog/01-12-2020/gregg-alan-miller monthly 0.5 2020-03-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1583482629222-J3VA05D7YSTQ3UWTPHA2/image-asset.jpeg Blog - Investor Alert: Gregg Alan Miller was suspended 3 months and fined $20k for failure to supervise https://theinvestmentattorneys.com/investment-fraud-blog/2018-02-18/1/commonwealth-financial-network monthly 0.5 2020-02-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert - SEC says Commonwealth Financial Network hid conflicts of interest from clients https://theinvestmentattorneys.com/investment-fraud-blog/2020-02-14/george-merhoff monthly 0.5 2020-02-14 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1516242575445-C5ZO0HCED3F4RAYNPI5T/Steve+Kaneski+Investigation Blog - FINRA has fined and banned George Merhoff Jr. permanently from the securities industry https://theinvestmentattorneys.com/investment-fraud-blog/2020-01-23/brett-levinson monthly 0.5 2020-01-24 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1516242575445-C5ZO0HCED3F4RAYNPI5T/Steve+Kaneski+Investigation Blog - FINRA Suspended Brett David Levinson 30 days and fined him $5k for improperly disclosing personal customer information https://theinvestmentattorneys.com/investment-fraud-blog/2020-01-23/harveyfrank monthly 0.5 2020-01-24 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1516242575445-C5ZO0HCED3F4RAYNPI5T/Steve+Kaneski+Investigation Blog - FINRA Suspended Harvey Frank 30 days and fined him $5k for improperly disclosing personal customer information https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/citigroup-global-markets-inc monthly 0.5 2019-11-20 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573209508970-Y2RPRAIV00IG2NOCLYUM/image-asset.jpeg Blog - Investor Alert: FINRA fines Citigroup Global Markets Inc. $1.25 Million for failing to appropriately fingerprint or screen employees https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/summit-brokerage-services-inc monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573208998872-CVOQZ6UPMM1R0R4ZUO46/image-asset.jpeg Blog - Investor Alert: Summit Brokerage Services, Inc. was fined more than $880,000 for failure to supervise https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/louis-mark-miller monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1516242575445-C5ZO0HCED3F4RAYNPI5T/Steve+Kaneski+Investigation Blog - Investor Alert: Louis Mark Miller was barred from FINRA for failing to provide testimony https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/robert-juan-escobio monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573208049669-SYXPL7I0UFEE8DA6IECS/image-asset.jpeg Blog - Investor Alert: Robert Juan Escobio was disqualified for failing to provide information and documents requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/wilfredo-felix monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573207683930-QUIUWT7CP8DGEF6UX54H/image-asset.jpeg Blog - Investor Alert: FINRA filed Complaint against Wilfredo Felix for falsifying books and records https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/brian-colin-doherty monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573207282718-T3LVKLR3SUMF5C7P9O44/image-asset.jpeg Blog - Investor Alert: Brian Colin Doherty was suspended from FINRA for two years for violating FINRA rules https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/eric-nichols monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573206525096-WZGD06LN7VTI3WZJ8102/image-asset.jpeg Blog - Investor Alert: Eric Nichols was fined $5,000 and suspended from FINRA for 15 days for making settlement payment to customer https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/michael-joseph-david-kane monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573205984920-SAIJWCR6K1NMBQYEX9SA/image-asset.jpeg Blog - Investor Alert: Michael Joseph David Kane was fined $2,500 and suspended from FINRA for 15 days. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/108/robert-henry-forsyth monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573205707097-TXBW68RTBOAF8NDW2D1M/image-asset.jpeg Blog - Investor Alert: Robert Henry Forsyth was fined $2,500 and suspended from FINRA for 15 days https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/john-darrick-atchison monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573205432787-0PSIU0N163AJF0TX1JMI/image-asset.jpeg Blog - Investor Alert: John Darrick Atchison was fined $2,500 and suspended from FINRA for 15 days https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/-yousuf-saljooki monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573205145808-HX702ZGQ14T1RNVKQ2QC/image-asset.jpeg Blog - Investor Alert: Yousuf Saljooki was fined $20,000 and suspended from FINRA for nine months https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/cheryl-c-blakey monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573204913059-JCIZ5O9WVVYQS1MPYS9U/image-asset.jpeg Blog - Investor Alert: Cheryl C. Blakey was fined $5,000 and suspended from FINRA for 15 days for settlement payment to customer https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/michael-patrick-spolar monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573204678031-FXWJ1BVGQ05IQCT94QZ3/image-asset.jpeg Blog - Investor Alert: Michael Patrick Spolar was suspended from FINRA for 15 months for unauthorized trading https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/16/michael-thomas-lee monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573204405385-VBZA2BSFDX7UV5P18K8F/image-asset.jpeg Blog - Investor Alert: Michael Thomas Lee was fined $12,500 and suspended from FINRA for one year for outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/108/aaron-c-william monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1516242575445-C5ZO0HCED3F4RAYNPI5T/Steve+Kaneski+Investigation Blog - Investor Alert: Aaron C. Williams was fined $5,000 and suspended from FINRA for 18 months for breaking examination rules https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/-stephen-michael-whiting monthly 0.5 2019-11-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573203561928-336I4M2MBUZ83VZY781V/image-asset.jpeg Blog - Investor Alert: Stephen Michael Whiting was suspended from FINRA for two months https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/brian-gregory-dijulio monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573203261525-XO4CRDQBJV11CAS60IQO/image-asset.jpeg Blog - Investor Alert: Brian Gregory DiJulio was fined $7,500 and suspended from FINRA for three months https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/michael-david-garris monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573202880961-04XQD29XDKYB9RH0RBVQ/image-asset.jpeg Blog - Investor Alert: Michael David Garris was fined $5,000 and suspended from FINRA for one year for unauthorized trading https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/eric-jason-savell monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573202618156-GR0OC5UTZFB0WBVXBTZB/image-asset.jpeg Blog - Investor Alert: Eric Jason Savell was fined $10,000 and suspended from FINRA for five months for outside business activities https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/david-wilson-fleming-jr monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573202342131-OA48RJXYHZQCVOSZN0VT/image-asset.jpeg Blog - Investor Alert: David Wilson Fleming Jr. was fined $5,000 and suspended from FINRA for three months for borrowing money from client. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/samuel-kent-van-allen monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573202059895-952ES4389QM5FS45D8NL/image-asset.jpeg Blog - Investor Alert: Samuel Kent Van Allen was fined $7,500 and suspended from FINRA for 15 business days. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/cindy-maria-fuzie monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573201731728-9U0A6I1TT35FVB99JW4Q/image-asset.jpeg Blog - Investor Alert: Cindy Maria Fuzie was fined $5,000 and suspended from FINRA for three months for filing false expense reports https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/george-mcelroy monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573201495383-NG9FZIMQW9OMP7THOYJ3/image-asset.jpeg Blog - Investor Alert: George McElroy was suspended from FINRA for three months for failing to report tax liens. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/jeffrey-wade-lundstrom monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573199799575-FWGGRUFQKIE2I5YRAO67/image-asset.jpeg Blog - Investor Alert: Jeffrey Wade Lundstrom was fined $7,500 and suspended from FINRA for six months for failing to report tax liens https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/jonathon-hartwig monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573199384112-DEXAS2QBZYR4S1GL1UH8/image-asset.jpeg Blog - Investor Alert: Jonathon Hartwig was fined $5,000 and suspended from FINRA for two months https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/robert-scott-davis monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573199092421-OF5G16RQIZHMD1HL4AM8/image-asset.jpeg Blog - Investor Alert: Robert Scott Davis was fined $5,000 and suspended from FINRA for 30 days for unsuitable trading. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/john-hardin-alexander monthly 0.5 2020-02-08 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573198828762-GCT4EMLQ25H4KPZ70ZTJ/image-asset.jpeg Blog - Investor Alert: John Hardin Alexander was fined $7,500 and suspended from FINRA for 60 days for unauthorized trading https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/dennis-carey-ward monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573198402831-F3OACNZUA1CFJFVIT89R/image-asset.jpeg Blog - Investor Alert: Dennis Carey Ward was fined $5,000 and suspended from FINRA for four months for failing to report tax liens https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/-linda-sue-zara monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573197968856-JHJMXKJ0UOY54VR97Z69/image-asset.jpeg Blog - Investor Alert: Linda Sue Zara was fined $5,000 and suspended from FINRA for three months. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/william-mark-heiden monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573197764303-UACSEQVI6FG20DP80RXS/image-asset.jpeg Blog - Investor Alert: William Mark Heiden was fined $5,000 and suspended from FINRA for six months for unauthorized trading https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/scott-mason monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573197522026-NL8L5BTS494VRJU0CORO/image-asset.jpeg Blog - Investor Alert: Scott Mason was fined $5,000 and suspended from FINRA for four months https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/ricardo-de-la-garza-emerich monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573197182674-CIYKYXZR1ASR9ZGC4Y4R/image-asset.jpeg Blog - Investor Alert: Ricardo de la Garza Emerich was fined $5,000 and suspended from FINRA for 45 days. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/david-philip-antypas monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573196742366-YV3F3RTRANY698C51LML/image-asset.jpeg Blog - Investor Alert: David Philip Antypas was suspended by FINRA for 2 years https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/vincent-joseph-storms monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573196374363-G5U4MDW2XFR757DEAG68/image-asset.jpeg Blog - Investor Alert: Vincent Joseph Storms was barred from FINRA for falsifying records https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/james-hal-heafner monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573195783503-W8GVCBS6C5D18K8N58MM/image-asset.jpeg Blog - Investor Alert: James Hal Heafner was barred from FINRA for refusing to appear for on-the-record testimony https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/15/diane-qun-zhu monthly 0.5 2019-11-15 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573195065343-I8DXRL4F9V4CCJH494OD/image-asset.jpeg Blog - Investor Alert: Diane Qun Zhu was barred from FINRA for refusing to provide documents and information https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/daryl-serizawa-gpb monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573158234825-286J2BFPRDJR4MULL618/Jeff+Cohen+GPB Blog - Investor Alert: FLG is investigating claims against Woodbury Financial for sale of GPB by Daryl Serizawa https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/jeff-cohen-gpb-zapgo monthly 0.5 2024-10-08 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573158234825-286J2BFPRDJR4MULL618/Jeff+Cohen+GPB Blog - FLG filed another FINRA claim against Moloney Securities Co., Inc., for sale of GPB and ZAPGO by Jeffrey Cohen https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/jeff-cohen-gpb monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1573158234825-286J2BFPRDJR4MULL618/Jeff+Cohen+GPB Blog - FLG filed FINRA claim against Moloney Securities Co., Inc., for sale of GPB and TEI by Jeffrey Cohen https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/fortino-rivera monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572084159321-A25UKTE6IEIE9UUJ190M/image-asset.jpeg Blog - Investor Alert: Fortino R. Rivera was barred from FINRA for providing false information to FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/cynthia-rice-jones monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572083737801-KB612AQ8SO45DW33EPY8/image-asset.jpeg Blog - Investor Alert: Cynthia Jones was barred from FINRA for refusing to provide on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/ernie-garcia monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572554430838-XRB5FWTOPQKDLKR7INQI/image-asset.jpeg Blog - Investor Alert: Ernie Garcia was barred from FINRA for refusing to provide documents, information and on-the-record testimony requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/robert-frederico-montes monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572082997586-Y2EM79VZA4H7LWAG76EN/image-asset.jpeg Blog - *Investor Alert: Robert Montes was barred from FINRA for refusing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/joseph-scott-eckhoff monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572082347605-IC1BGINF1X8G11GW2H5E/image-asset.jpeg Blog - Investor Alert: Joseph Scott Eckhoff was barred from FINRA for failing to provide documents and information requested by FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/thomas-john-marino monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572082011773-REWIBWKFB6XWVVNR5P9U/image-asset.jpeg Blog - Investor Alert: Thomas Marino was barred from FINRA for refusing to provide documents and information requested by FINRA. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/roman-alejandro-corona monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572081666364-BB000LPG2XUNBHE5HFCJ/image-asset.jpeg Blog - Investor Alert: Roman Alejandro Corona was barred from FINRA for refusing to appear for on-the-record testimony requested by FINRA. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/michael-richard-mackay monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572081296985-BE25BYVD9CLRGFQZ003F/image-asset.jpeg Blog - Investor Alert: Michael Richard Mackay was barred from FINRA for failing to respond to FINRA’s request for documents and information. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/richard-earl-cagle monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572081007064-WSWE8DGCVDZFN42CPBI5/image-asset.jpeg Blog - Investor Alert: Richard Earl Cagle was barred from FINRA for refusing to appear for and provide on-the-record testimony requested by FINRA. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/jeffrey-alan-blutstein monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572080681021-XWFKE647GHWMKKP8XYWL/image-asset.jpeg Blog - Investor Alert: Jeffrey Alan Blutstein was barred from FINRA for refusing to provide documents and information requested by FINRA. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/brenda-ann-smith monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572079643146-V4YJXNO74OD6IL5BLKRY/image-asset.jpeg Blog - Investor Alert: Brenda Ann Smith was barred from FINRA for misstatements about the financial performance of an investment fund https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/tina-marie-martinez monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572079021648-T02D1JW4K0EI3MAU4T09/image-asset.jpeg Blog - Investor Alert: Tina Marie Martinez was barred from FINRA for submitting forged life insurance policies https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/james-thomas-booth monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572078467965-EEIX7LITPC5RVDB7MCGH/image-asset.jpeg Blog - Investor Alert: James Thomas Booth was barred from FINRA for stealing customer funds https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/park-avenue-securities-llc monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572077297156-2ZKMKCVTOQ2EO2EDA7BD/image-asset.jpeg Blog - Investor Alert: Park Avenue Securities LLC was censured failing to supervise mutual fund sales https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/western-international-securities-inc monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572077041879-JDDE457DIR4KNDMURZ7H/image-asset.jpeg Blog - Investor Alert: Western International Securities, Inc was censured and fined $75,000 for failure to supervise mutual fund sales https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/bnp-paribas-securities-corp monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572076711297-LYG0SVUJL5A9FJ9KGS5L/image-asset.jpeg Blog - Investor Alert: BNP Paribas Securities Corp was censured and fined $100,000 for failing to report OTC option. https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/clearpool-execution-services monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572075950444-EG5J8L3JHK5QOONE1G90/image-asset.jpeg Blog - Investor Alert: Clearpool Execution Services, LLC was censured and fined $473,000 for failure to supervise https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/aegis-capital-corp monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572075156177-GY2CJ5CDQQJUOGFA3D88/image-asset.jpeg Blog - Investor Alert: Aegis Capital Corp. was censured and fined $93,125 for failing to file certain documents with FINRA https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/31/citigroup-global-markets-inc monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1572074860151-3D4FMRIDJNDE5U2LONJF/Matthew+Martin+Howley Blog - Investor Alert: Citigroup Global Markets Inc. was censured and fined $55,000 for failing to report options positions https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/planmember-securities-corporation monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1571690168310-0W7FP7A8ARZ15LTO1LU7/Matthew+Martin+Howley Blog - Investor Alert: Planmember Securities Corporation was censured and fined $90,000 for failing to supervise variable annuity exchanges https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/7/cv-brokerage-inc monthly 0.5 2019-11-07 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1571645085443-ROJGDXFFNTV92CFTIEPS/image-asset.jpeg Blog - Investor Alert: CV Brokerage, Inc was censured and fined $100,000 for failure to supervise https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/kajo-movsesian monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA banned Merrill Lynch advisor Kajo Movsesian for failing to follow FINRA rules https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/michael-milad-tanha monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA fined Michael Milad Tanha $15,000 fine, plus a 10 month suspension https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/ronald-richard-blasczyk monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA fine Ronald Richard Blasczyk $10,000, plus 15 day suspension https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/steven-paul-cooper monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA fined Steven Paul Cooper $5,000, plus 2 months suspension https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/nicholas-alec-bougopolos monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA Suspended Nicholas Bougopoulos for 2 months for not responding to FINRA request for information https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/kevin-michael-won-lee monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA Barred Kevin Michael Won Lee indefinitely for not following FINRA Rules https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/john-l-torres monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA Barred John L. Torres indefinitely for not following FINRA rules https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/bryan-wesley-andrzejewski monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA Barred Bryan Wesley Andrzejewski permanently for not following FINRA rules https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/richard-labare monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA Barred RICHARD LABARE indefinitely for not following FINRA rules https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/juan-diego-rumayor monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA Suspended JUAN DIEGO RUMAYOR for failing to follow FINRA rules https://theinvestmentattorneys.com/investment-fraud-blog/2019/10/17/alex-leon-salcedo monthly 0.5 2019-10-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FINRA Suspended Alex Leon Salcedo Indefinitely for failing to comply with rules https://theinvestmentattorneys.com/investment-fraud-blog/2019/09/11/ameriprise-jim-seol monthly 0.5 2019-09-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - FINRA Barred Jim Jinkook Seol for selling away from Ameriprise https://theinvestmentattorneys.com/investment-fraud-blog/2019/11/09-ronald-blasczyk monthly 0.5 2019-09-11 https://theinvestmentattorneys.com/investment-fraud-blog/2019/08/01/thomas-tan monthly 0.5 2019-08-01 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - FINRA Fined Broker Thomas Z. Tan $5,000 and suspended him for 3 months https://theinvestmentattorneys.com/investment-fraud-blog/2019/08/01/jamie-silber-bennett monthly 0.5 2019-08-01 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - FINRA sanctions Broker Jamie Silber Bennett with a fine of $5,000 and a 30 day suspension https://theinvestmentattorneys.com/investment-fraud-blog/2019/07/26/gpb monthly 0.5 2019-07-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: Recover Your Investment Losses in GPB https://theinvestmentattorneys.com/investment-fraud-blog/2019/07/26/michael-garris monthly 0.5 2019-07-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - FINRA fined Wells Fargo broker Michael Garris $5k and suspended him for trading a dead client's account https://theinvestmentattorneys.com/investment-fraud-blog/2019/07/19/tg-therapeudics monthly 0.5 2019-07-20 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: FLG investigates National Securities for insider trading of TG Therapeutics https://theinvestmentattorneys.com/investment-fraud-blog/2019/06/28/texas-ep-partners monthly 0.5 2019-06-29 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Mark A. Plummer agrees to pay $500k to settle SEC charges for misusing Texas E&P investor funds https://theinvestmentattorneys.com/investment-fraud-blog/2019/06/04/gbp-ponzi-scheme monthly 0.5 2019-06-04 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: GPB Capital Ponzi Scheme Investigation https://theinvestmentattorneys.com/investment-fraud-blog/2019/06/04/jon-pariser-awc monthly 0.5 2019-06-04 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - FINRA Barred Jon Pariser Indefinitely For Failing To Produce Documents And Information Related To Investigation https://theinvestmentattorneys.com/investment-fraud-blog/2019/02/03/fip-karl-nelson monthly 0.5 2019-02-03 https://theinvestmentattorneys.com/investment-fraud-blog/2018/11/03-ljm-preservation-and-growth-fund monthly 0.5 2018-11-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: LJM Preservation and Growth Fund - Recover Your Investment Losses https://theinvestmentattorneys.com/investment-fraud-blog/2018/11/02-cadaret-grant monthly 0.5 2018-11-02 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - SEC & FINRA punish Cadaret Grant over $1.7 Million for failure to supervise https://theinvestmentattorneys.com/investment-fraud-blog/2018/11/02/independent-financial-group-investor-alertr-pzm5a monthly 0.5 2019-06-01 https://theinvestmentattorneys.com/investment-fraud-blog/2018/11/02/independent-financial-group-pariser monthly 0.5 2018-11-02 https://theinvestmentattorneys.com/investment-fraud-blog/2018/10/20/fip-live-abundant monthly 0.5 2019-02-03 https://theinvestmentattorneys.com/investment-fraud-blog/2018/10/20/cfpb monthly 0.5 2018-10-20 https://theinvestmentattorneys.com/investment-fraud-blog/2018/10/20/minnesota-life monthly 0.5 2021-07-07 https://theinvestmentattorneys.com/investment-fraud-blog/2018/16/stockcross-peter-cunningham monthly 0.5 2018-10-20 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Regulators Charge StockCross and Peter Cunningham with improper UIT trading practices https://theinvestmentattorneys.com/investment-fraud-blog/2018/6/13/essex-capitol monthly 0.5 2018-06-13 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert: SEC Charges Essex Capitol and Ralph Iannelli with Ponzi scheme fraud https://theinvestmentattorneys.com/investment-fraud-blog/2018/05/17/ken-reeves monthly 0.5 2018-05-17 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Furgison Law Group is investigating claims against Ken Reeves and Stifel Nicolaus for Puerto Rico Bond sales https://theinvestmentattorneys.com/investment-fraud-blog/2018/05/12/michellemarquez monthly 0.5 2018-05-12 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Michelle Marquez and Merrill Lynch sued for $17.4M investment fraud by former NBA player Kwame Brown https://theinvestmentattorneys.com/investment-fraud-blog/2018/4/28/michael-keane-ubs-award monthly 0.5 2018-04-28 https://theinvestmentattorneys.com/investment-fraud-blog/2018/04/03/jeremy-drake monthly 0.5 2018-04-03 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - SEC has accused Jeremy Drake of HCR Wealth Advisor of defrauding a professional athlete of $1.2 Million https://theinvestmentattorneys.com/investment-fraud-blog/2018/3/16/jack-mcenerney monthly 0.5 2018-12-18 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Jack McEnerney and Woodbridge Ponzi Scheme Investigation https://theinvestmentattorneys.com/investment-fraud-blog/2018/2/11/gemini-opportunity-fund-iii monthly 0.5 2018-03-14 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Furgison Law Group is helping investors pursue claims involving Gemini Opportunity Funds https://theinvestmentattorneys.com/investment-fraud-blog/2018/1/25/david-barber monthly 0.5 2018-01-25 https://theinvestmentattorneys.com/investment-fraud-blog/2018/1/greg-w-anderson monthly 0.5 2018-03-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Greg W. Anderson and Woodbridge Ponzi Scheme Investigation https://theinvestmentattorneys.com/investment-fraud-blog/2018/1/18/steve-kaneski monthly 0.5 2018-01-19 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Investor Alert - Beware of annuities and insurance sold by Steve Kaneski https://theinvestmentattorneys.com/investment-fraud-blog/2018/1/8furgison-law-group-is-investigating-claims-against-woodbridge monthly 0.5 2018-01-08 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - INVESTOR ALERT: SEC CHARGES OPERATORS OF $1.2 BILLION PONZI SCHEME TARGETING MAIN STREET INVESTORS https://theinvestmentattorneys.com/investment-fraud-blog/2018/1/furgison-law-group-is-investigating-claims-against-advisors-excel-revolution-woodbridge monthly 0.5 2018-01-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - Woodbridge Ponzi Scheme Investigation https://theinvestmentattorneys.com/investment-fraud-blog/2016/12/11/furgison-law-group-is-investigating-claims-against-matthew-martin-howley-9ny4m monthly 0.5 2017-12-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - FINRA has barred Charles Frieda and Charles Lynch of Wells Fargo for selling over-concentrated investments in oil, gas and energy securities https://theinvestmentattorneys.com/investment-fraud-blog/2016/12/11/furgison-law-group-is-investigating-claims-against-matthew-martin-howley-pfyzr monthly 0.5 2017-12-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481475852742-XTEUCZ2FWHMBTKX27FFH/Matthew+Martin+Howley Blog - FLG is investigating claims involving Oil & Gas Master Limited Partnership (MLP) investments recommended by Miller Howard https://theinvestmentattorneys.com/investment-fraud-blog/2016/9/15/furgison-law-group-files-firna-arbitration-claim-against-wells-fargo-advisors-related-to-financial-advisor-misconduct-of-ghalib-kanji-ypxkm-f2kre-8ja8m monthly 0.5 2017-11-15 https://theinvestmentattorneys.com/investment-fraud-blog/2016/9/15/furgison-law-group-files-firna-arbitration-claim-against-wells-fargo-advisors-related-to-financial-advisor-misconduct-of-ghalib-kanji-ypxkm-f2kre monthly 0.5 2017-11-15 https://theinvestmentattorneys.com/investment-fraud-blog/2016/9/15/furgison-law-group-files-firna-arbitration-claim-against-wells-fargo-advisors-related-to-financial-advisor-misconduct-of-ghalib-kanji-ypxkm monthly 0.5 2017-08-23 https://theinvestmentattorneys.com/investment-fraud-blog/2017/1/16/investment-fraud-lawyers-investigate-claims-against-hollywood-managers-agents-and-financial-advisers monthly 0.5 2017-01-16 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1484597974401-WGMWEOPTMO3Z4K5FK7ZI/Hollywood+Business+Managers+Fraud+Lawyers Blog - Investment Fraud Lawyers Investigate Claims Against Hollywood Managers, Agents and Financial Advisers https://theinvestmentattorneys.com/investment-fraud-blog/2016/12/17/sec-bans-ash-narayan-for-investment-fraud-of-pro-athletes monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506551383480-6W2PW3SKJHAT8RUWKW7D/1magnafying+glass.jpg Blog - SEC bans Ash Narayan for investment fraud of pro athletes https://theinvestmentattorneys.com/investment-fraud-blog/2016/12/11/finra-sanctions-oppenheimer-co-34-million-for-reporting-violations-failing-to-comply-with-discovery-obligations-in-arbitrations-and-other-supervisory-failures monthly 0.5 2016-12-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1481477959055-J7CADUQLB50ENUKCIZNK/Oppenheimer+%26+Co.+Mark+Hotton Blog - FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations, Failing to Comply With Discovery Obligations in Arbitrations, and Other Supervisory Failures https://theinvestmentattorneys.com/investment-fraud-blog/2016/9/30/furgison-law-group-is-investigating-two-more-claims-against-doug-neet-and-new-york-life-for-unsuitable-sales-of-annuity-products monthly 0.5 2018-06-01 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1475245489942-GZDVXE5VWXB2SANJ77R6/Doug+Neet+annuity+investigation Blog - Furgison Law Group is investigating claims against New York Life for inappropriate sales of annuities https://theinvestmentattorneys.com/investment-fraud-blog/2016/9/15/furgison-law-group-files-firna-arbitration-claim-against-wells-fargo-advisors-related-to-financial-advisor-misconduct-of-ghalib-kanji monthly 0.5 2017-07-27 https://theinvestmentattorneys.com/investment-fraud-blog/2016/9/2/eric-william-kuchel-was-barred-from-association-with-any-finra-member-in-any-capacity monthly 0.5 2016-09-02 https://theinvestmentattorneys.com/investment-fraud-blog/2016/9/2/finra-fined-kyle-a-gonzales-5000-and-suspended-him-from-association-with-any-finra-member-for-one-month monthly 0.5 2016-09-02 https://theinvestmentattorneys.com/investment-fraud-blog/2016/8/3/jim-jinkook-seol-was-named-a-respondent-in-a-finra-complaint-alleging-that-he-engaged-in-unapproved-outside-business-activities-and-participated-in-private-securities-transactions-or-se-hxml2 monthly 0.5 2016-08-04 https://theinvestmentattorneys.com/investment-fraud-blog/2016/8/3/john-stuart-hudnall-was-named-a-respondent-in-a-finra-complaint-alleging-that-he-participated-in-an-undisclosed-and-unapproved-private-securities-transaction-reit monthly 0.5 2016-08-04 https://theinvestmentattorneys.com/investment-fraud-blog/2016/8/3/rani-tarek-jarkas-was-barred-from-association-with-any-finra-member-for-failing-to-appear-for-on-the-record-testimony monthly 0.5 2018-01-24 https://theinvestmentattorneys.com/investment-fraud-blog/2016/8/3/david-alfred-castillo-was-suspended-from-association-with-any-finra-member-in-any-capacity-for-four-months monthly 0.5 2018-01-24 https://theinvestmentattorneys.com/investment-fraud-blog/2016/8/3/wedbush-securities-inc-was-named-a-respondent-in-a-finra-complaint-alleging-that-it-put-customer-assets-at-risk-in-disregard-of-its-obligations-under-the-customer-protection-rule monthly 0.5 2017-09-27 https://theinvestmentattorneys.com/investment-fraud-blog/2016/8/3/wedbush-securities-inc-was-fined-1000000-for-improper-reporting-to-the-sec-and-supervision-failures monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506551853065-AI5U3NH8EBTHSMHB2ZQ9/1magnafying+glass.jpg Blog - Wedbush Securities Inc., was fined $1,000,000 for improper reporting to the SEC and supervision failures https://theinvestmentattorneys.com/investment-fraud-blog/2016/8/3/electronic-transaction-clearing-inc-crd-146122-was-censured-and-fined-75000-by-finra-for-reporting-and-supervision-failures monthly 0.5 2016-08-04 https://theinvestmentattorneys.com/investment-fraud-blog/2016/8/3/equinox-securities-inc-was-expelled-from-finra-membership-and-michael-oliveira-was-fined-25000-and-barred-for-one-year monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506551567234-5C8V74MM5ZKPU0RGGEMP/Michael+Oliveira+and+Equinox+Securities%2C+Inc. Blog - Equinox Securities, Inc., was expelled from FINRA membership and Michael Oliveira was fined $25,000 and barred for one year. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/finra-issued-complaint-against-ridgeway-conger-inc-kenley-brisard-philip-brisard-and-leigh-mccobb monthly 0.5 2016-04-26 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461712981965-5OI7CXXLW6ZSQ3RVY878/Furgison+Law+Group+investigates+FINRA+issued+complaint+against+Ridgeway+%26+Conger%2C+Inc.%2C+Kenley+Brisard%2C+Philip+Brisard+and+Leigh+McCobb Blog - FINRA issued complaint against Ridgeway & Conger, Inc., Kenley Brisard, Philip Brisard and Leigh McCobb https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/finra-barred-michael-bruce-winegar-from-association-with-any-finra-member-in-any-capacity monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461712330070-CDTMI1ZE3RIWM265KLNR/Furgison+Law+Group+investigating+Michael+Bruce+Winegar Blog - FINRA barred Michael Bruce Winegar from association with any FINRA member in any capacity. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/finra-barred-fred-leander-white-jr-from-association-with-any-finra-member-in-any-capacity monthly 0.5 2016-04-26 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461711706600-A6F0IE13L8CF7DIKXJ5S/Furgison+Law+Group+investigating+Fred+Leander+White%2C+Jr. Blog - FINRA barred Fred Leander White, Jr. from association with any FINRA member in any capacity. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/finra-barred-kevin-donald-wanner-from-association-with-any-finra-member-in-any-capacity monthly 0.5 2016-04-26 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461711244997-08UJ146UORDNB1MH8ME0/Furgison+Law+Group+is+investigating+Kevin+Donald+Wanner Blog - FINRA barred Kevin Donald Wanner from association with any FINRA member in any capacity. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/finra-assessed-jason-daniel-sayles-a-deferred-fine-of-15000-and-suspended-him-for-10-months monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461710287385-X4MEFFTIH0DLDQBRK4ZO/Furgison+Law+Group+investigates+Jason+Daniel+Sayles Blog - FINRA assessed Jason Daniel Sayles a deferred fine of $15,000 and suspended him for 10 months. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/m1oybelgdyfnggqy1qszwkxdnjehuy monthly 0.5 2016-04-26 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461709642577-66BQO0IUVP8UXJZ6SXJ2/Furgison+Law+Group+investigates+Robert+Joseph+Regan Blog - FINRA assessed Robert Joseph Regan a deferred fine of $5,000 and suspended him for 60 days https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/finra-assessed-michael-david-rasmovich-a-deferred-fine-of-10000-and-suspended-him-for-two-months monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461709020651-CWRBUYHZ2CTQFUKBYEN1/Furgison+Law+Group+investigates+Michael+David+Rasmovich Blog - FINRA assessed Michael David Rasmovich a deferred fine of $10,000 and suspended him for two months. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/es9upsogox83aeiwutu5ntii0nqpn4 monthly 0.5 2016-04-26 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461707988813-HLDFA7CWE9UTUBHLN8EF/Furgison+Law+Group+is+investigating+James+Jeffery+Nixon Blog - FINRA fined James Jeffery Nixon $15,000 and suspended him for three months for selling away https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/finra-assessed-kevin-patrick-murphy-a-deferred-fine-of-10000-and-suspended-him-for-12-months monthly 0.5 2016-04-26 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461706833266-CLHET8V43L196PK8RXAL/Furgison+Law+Group+is+investigating+Kevin+Patrick+Murphy Blog - FINRA assessed Kevin Patrick Murphy a deferred fine of $10,000 and suspended him for 12 months. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/26/finra-assessed-andrew-clinton-legros-a-deferred-fine-of-15000-and-suspended-him-for-three-months monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461706316213-HYUZ12QP8UO3L1YAWXE3/Furgison+Law+Group+investigates+Andrew+Clinton+LeGros Blog - FINRA assessed Andrew Clinton LeGros a deferred fine of $15,000 and suspended him for three months. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/25/finra-assessed-katherine-farber-lapidoth-a-fine-of-15000-and-suspended-her-for-two-years monthly 0.5 2016-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461625056449-F5XSDFS6GDSQFQ7K6WOO/Furgison+Law+Group+investigates+claims+against+Katherine+Farber+Lapidoth Blog - FINRA assessed Katherine Farber Lapidoth a fine of $15,000 and suspended her for two years https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/25/finra-fined-steven-ray-hinkle-10000-and-suspended-him-for-20-days monthly 0.5 2016-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461623752101-ZJQN4K5AF6ICRB39EXVP/Furgison+Law+Group+investigates+Steven+Ray+Hinkle Blog - FINRA fined Steven Ray Hinkle $10,000 and suspended him for 20 days. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/25/finra-assessed-a-deferred-fine-of-5000-and-suspended-james-p-hilty-jr-for-45-days monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506551960812-937YJ1J62MBF2Y9G7ZVD/1magnafying+glass.jpg Blog - FINRA assessed a deferred fine of $5,000 and suspended James P. Hilty, Jr., for 45 days. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/25/finra-fines-and-suspends-sheldon-jay-harber-for-selling-away monthly 0.5 2016-04-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461604964961-EFN06R1L14X8P7BBFPEU/Sheldon+Jay+Harber+under+investigation+for+selling+away Blog - FINRA fines and suspends Sheldon Jay Harber for selling away https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/25/coo75t9ebf6bxdn9l1ka5cwf18is89 monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552021336-4883VQ8UXBXGC6H0QTIC/1magnafying+glass.jpg Blog - FINRA assessed a deferred fine of $35,000 and suspended Michael William Hajek III for 18 months https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/finra-barred-michael-roger-griffith-from-association-with-any-member monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552082530-XYPWUGR78BU04ISKNVEJ/1magnafying+glass.jpg Blog - FINRA barred Michael Roger Griffith from association with any member firm https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/finra-suspended-and-fined-jeffrey-lee-davidson-10000 monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552149332-7G9E9XL4CTPKWSBNCG9Z/Jeffrey+Lee+Davidson+under+investigation Blog - FINRA suspended and fined Jeffrey Lee Davidson $10,000 https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/finra-fined-carlos-benavidez-jr-10000-and-suspended-him-for-two-months monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552175593-OX566PYXY1TBZUZVJXAD/Carlos+Benavidez+Jr.%2C+under+investigation Blog - FINRA fined Carlos Benavidez Jr., $10,000 and suspended him for two months https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/finra-suspends-and-fines-james-warren-anderson-15000 monthly 0.5 2016-04-24 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461526349284-QW8RQ13YK4A2AFOLB9EW/James+Warren+Anderson+under+investigation Blog - FINRA suspends and fines James Warren Anderson $15,000 https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/finra-censured-and-fined-paulson-investment-company-llc-60000 monthly 0.5 2016-04-24 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461518945394-P9OA38PSXY335DUHFX5R/Paulson+Investment+Company+LLC+under+investigation Blog - FINRA censured and fined Paulson Investment Company LLC $60,000 https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/finra-fined-next-financial-group-inc-125000-for-failure-to-apply-sales-charge-discounts-for-utis monthly 0.5 2016-04-24 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461517723252-YH52ZVMQHTVNLBYOHHAV/Next+Financial+Group%2C+Inc.%2C+under+investigation+for+over-charging+clients Blog - FINRA fined Next Financial Group, Inc., $125,000 for failure to apply sales-charge discounts for UTI's https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/finra-censured-and-fined-mutual-of-omaha-investor-services-inc-25000 monthly 0.5 2016-04-24 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461516826307-Q6JPJ1X93RN77AD4J7TT/Mutual+of+Omaha+Investor+Services%2C+Inc.%2C+under+investigation Blog - FINRA censured and fined Mutual of Omaha Investor Services, Inc., $25,000 https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/finra-censures-and-fines-key-investment-services-llc-100000-for-failure-to-apply-sales-charge-discounts monthly 0.5 2016-04-24 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461516035213-C2MS753JFXGMUE63CNB3/Key+Investment+Services+LLC+under+investigation+for+UTI Blog - FINRA censures and fines Key Investment Services LLC $100,000 for failure to apply sales charge discounts https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/t7tjri5al8lsym7g7ittgob8eazdcl monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552240116-QW9683MA4KHQVBA2UYQQ/Edward+Jones+under+investigation+for+failure+to+supervise Blog - Edward Jones censured and fined $200,000 for failure to supervise securities transactions https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/24/barclays-capital-inc-censured-and-fined-500000-by-finra-for-failing-to-disclose-information-regarding-investment-banking-services monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552271930-L5OZZBYS1IGTQ884ZO7A/Barclays+Capital%2C+Inc.%2C+under+investigation+for+failure+to+disclose+investment+banking+information Blog - Barclays Capital, Inc., censured and fined $500,000 by FINRA for failing to disclose information regarding investment banking services https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/23/finra-fines-stifel-nicolaus-company-200000-and-kurt-august-lalomia-15000 monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552320612-97ITO2WY2B878ZIS2IN8/Kurt+August+LaLomia+and+Stifel%2C+Nicolaus+%26+Company+fined+by+FINRA Blog - FINRA Fines Stifel, Nicolaus & Company $200,000 and Kurt August LaLomia $15,000 https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/21/eeda1ift1cq72fhenuqpf9fquueg6i monthly 0.5 2019-02-05 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461286227288-GM2K12AS39YBXZCB3NFB/Arbitration+claim+filed+by+former+clients+of+Scott+Melbrod Blog - Furgison Law Group filed a FINRA arbitration claim against National Planning Corporation on behalf of customers of Scott Melbrod https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/21/g66j6yctmuztwevzolyz8y6voe5xef monthly 0.5 2019-02-05 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461285473012-NLF8NFM37R7OJTUQHXNK/Arbitration+claim+filed+against+National+Planning+Corporation+by+former+clients+of+George+Melbrod%2C+Jr. Blog - Furgison Law Group filed a FINRA arbitration claim against National Planning Corporation on behalf of customers of George Melbrod, Jr. https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/21/furgison-law-group-has-filed-finra-arbitration-claim-against-national-planning-corporation-on-behalf-of-customers-of-robert-rusty-tweed monthly 0.5 2016-04-22 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1461281922273-UO3PSNFUFIRVX7BXR0L5/Arbitration+claim+filed+by+former+clients+of+Robert+Rusty+Tweed Blog - Furgison Law Group has filed a FINRA arbitration claim against National Planning Corporation on behalf of customers of Robert "Rusty" Tweed https://theinvestmentattorneys.com/investment-fraud-blog/2016/4/16/furgison-law-group-has-filed-a-finra-claim-on-behalf-of-former-clients-of-eric-schindler monthly 0.5 2016-04-22 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1460818782607-JSJV3VGQVFKCLZ14V6AI/Eric+Schindler+FINRA+claim+TIC+investigation Blog - Furgison Law Group has filed a FINRA claim on behalf of former clients of Eric Schindler https://theinvestmentattorneys.com/investment-fraud-blog/2016/3/12/v0ecc9onbq49dvw7czplyk44rhep22 monthly 0.5 2016-03-12 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1457826269116-X4SVF228BL6341OTBINM/Oil+%26+Gas+Investment+Fraud Blog - Can I recover my Oil & Gas investment losses? https://theinvestmentattorneys.com/investment-fraud-blog/2016/3/11/y9r5fd6rb0h9cqdrs763q13rmldfyn monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552393090-14DOFBXZGWNQECFBY26A/United+Development+Funding+%28UDF%29+FBI+Raid Blog - Recovery options for investors following FBI Raid of United Development Funding (UDF) offices in Dallas, Texas https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/15/finra-sanctions-ubs-puerto-rico-185-million-for-supervisory-failures-regarding-sales-of-puerto-rican-closed-end-funds-and-related-loans-1 monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552436392-K6JX6KZGD1P2I8GR5DKE/UBS+Puerto+Rico Blog - FINRA Sanctions UBS Puerto Rico $18.5 Million for Supervisory Failures Regarding Sales of Puerto Rican Closed-End Funds and Related Loans https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/15/finra-sanctions-santander-securities-llc-64-million-for-supervisory-failures-related-to-sales-of-puerto-rican-bonds monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552495583-TTNZRNQTWL6VCAANFU44/1magnafying+glass.jpg Blog - FINRA Sanctions Santander Securities LLC $6.4 Million for Supervisory Failures Related to Sales of Puerto Rican Bonds https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/15/finra-sanctions-12-firms-a-total-of-67-million-for-failing-to-apply-sales-charge-discounts-to-customers-purchases-of-uits monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552771749-OD2J38Y12JNR7GJ59NAV/1magnafying+glass.jpg Blog - FINRA Sanctions 12 Firms a Total of $6.7 Million for Failing to Apply Sales Charge Discounts to Customers' Purchases of UITs https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/15/finra-orders-wells-fargo-raymond-james-and-lpl-financial-to-pay-more-than-30-million-in-restitution-to-retirement-accounts-and-charities-overcharged-for-mutual-funds monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552723302-88X5J87G2W98Z87TCQJJ/1magnafying+glass.jpg Blog - FINRA Orders Wells Fargo, Raymond James, and LPL Financial to Pay More Than $30 Million in Restitution to Retirement Accounts and Charities Overcharged for Mutual Funds https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/15/finra-orders-an-additional-five-firms-to-pay-18-million-in-restitution-to-charities-and-retirement-accounts-overcharged-for-mutual-funds monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552811305-B0I3DMYM83KE4Z9X8K0S/Edward+Jones Blog - FINRA Orders an Additional Five Firms to Pay $18 Million in Restitution to Charities and Retirement Accounts Overcharged for Mutual Funds https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/15/finra-fines-cantor-fitzgerald-co-73-million-for-selling-billions-of-unregistered-microcap-shares monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552852503-2N7FOSJC748672F4VR32/image-asset.jpeg Blog - FINRA Fines Cantor Fitzgerald & Co. $7.3 Million for Selling Billions of Unregistered Microcap Shares https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/12/finra-fines-scottrade-26-million-for-failures-in-electronic-records-retention monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552889721-1O75FZCZUNEZEC9K8C9A/1magnafying+glass.jpg Blog - FINRA Fines Scottrade $2.6 Million for Failures in Electronic Records Retention https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/11/test monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1452566311469-N035CD629EPRISOYW0VA/image-asset.gif Blog - FINRA Fines Deutsche Bank Securities Inc. $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506552959521-CWSV27KNX1P4JDHCCV8B/image-asset.jpeg Blog - FINRA Fines Deutsche Bank Securities Inc. $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/11/finra-fines-barclays-capital-inc-1375-million-for-unsuitable-mutual-fund-transactions monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506553007138-HQWJE2O0DYY5E8RYPJHV/1magnafying+glass.jpg Blog - FINRA Fines Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions https://theinvestmentattorneys.com/investment-fraud-blog/2016/1/1/ripceepkbxl39c78okjfertyb7l5ks monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506553046123-9APHXAODOUG95ZTLFULN/1magnafying+glass.jpg Blog - FINRA Fines Fidelity Brokerage Services LLC $1 Million for Supervision Failures https://theinvestmentattorneys.com/investment-fraud-blog/2015/5/6/finra-sanctions-lpl-financial-llc-117-million-for-widespread-supervisory-failures-related-to-complex-products-sales-trade-surveillance-and-trade-confirmations-delivery monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1430936083448-OO9O2U3WA13J33SMXO9Q/image-asset.gif Blog - FINRA Sanctions LPL Financial LLC $11.7 Million for Widespread Supervisory Failures Related to Complex Products Sales, Trade Surveillance and Trade Confirmations Delivery https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1430936096669-EV98TLTTMNTMXT39G8N2/image-asset.gif Blog - FINRA Sanctions LPL Financial LLC $11.7 Million for Widespread Supervisory Failures Related to Complex Products Sales, Trade Surveillance and Trade Confirmations Delivery https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1506553091735-QZHJ8UIPERC694PQDJH6/1magnafying+glass.jpg Blog - FINRA Sanctions LPL Financial LLC $11.7 Million for Widespread Supervisory Failures Related to Complex Products Sales, Trade Surveillance and Trade Confirmations Delivery https://theinvestmentattorneys.com/investment-fraud-blog/2015/4/12/royal-alliance-hit-with-88422255-arbitration-award-for-breach-of-fiduciary-duty-related-to-the-surrender-of-a-variable-universal-life-policy monthly 0.5 2017-09-27 https://theinvestmentattorneys.com/investment-fraud-blog/2014/11/10/finra-investor-survey-reveals-strong-support-for-additional-regulatory-protections monthly 0.5 2014-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1415669511684-6RBKG3UWHHWRG917HW1G/image-asset.gif Blog - FINRA Investor Survey Reveals Strong Support for Additional Regulatory Protections https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1415669547644-FT3XFRIQ3JV65MNQGAFD/p036327.gif Blog - FINRA Investor Survey Reveals Strong Support for Additional Regulatory Protections https://theinvestmentattorneys.com/investment-fraud-blog/2014/11/10/finra-fines-merrill-lynch-a-total-of-6-million-for-reg-sho-violations-and-supervisory-failures monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1415669152151-P8NS5I87N8K2CB60SGMM/image-asset.gif Blog - FINRA Fines Merrill Lynch a Total of $6 Million for Reg SHO Violations and Supervisory Failures https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1415669131925-ANCJQVKD1Z1FHK8ARYNP/image-asset.gif Blog - FINRA Fines Merrill Lynch a Total of $6 Million for Reg SHO Violations and Supervisory Failures https://theinvestmentattorneys.com/investment-fraud-blog/2014/11/10/finra-names-richard-berry-director-of-dispute-resolution monthly 0.5 2014-11-11 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1415668912361-OINK6KAQV8BK3ECBTGRN/image-asset.gif Blog - FINRA Names Richard Berry Director of Dispute Resolution https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1415668851786-FMH8195HI9EFG03P9KRL/image-asset.gif Blog - FINRA Names Richard Berry Director of Dispute Resolution https://theinvestmentattorneys.com/investment-fraud-blog/2014/7/28/sec-approves-finra-rule-to-prohibit-conditioning-settlements-on-expungement monthly 0.5 2014-07-28 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1406588663202-562WKDWT1YDHZQBNDIY9/image-asset.gif Blog - SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1406588705579-6WZZ9PKLI0WZOUE6BXBG/image-asset.gif Blog - SEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement https://theinvestmentattorneys.com/investment-fraud-blog/2014/6/25/finra-fines-merrill-lynch-8-million-over-89-million-repaid-to-retirement-accounts-and-charities-overcharged-for-mutual-funds monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1403717862464-46BZWPFPIRKVFAI4JON9/image-asset.gif Blog - FINRA Fines Merrill Lynch $8 Million; Over $89 Million Repaid to Retirement Accounts and Charities Overcharged for Mutual Funds https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1403717907072-IY6K9OID2HOXO644FRF2/image-asset.gif Blog - FINRA Fines Merrill Lynch $8 Million; Over $89 Million Repaid to Retirement Accounts and Charities Overcharged for Mutual Funds https://theinvestmentattorneys.com/investment-fraud-blog/2014/5/6/finra-fines-morgan-stanley-smith-barney-llc-5000000-for-supervisory-failures-related-to-sales-of-shares-in-83-initial-public-offerings-to-retail-customers monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1399396515483-N697DL4FWY66EZ76R7G8/image-asset.gif Blog - FINRA Fines Morgan Stanley Smith Barney LLC $5,000,000 for Supervisory Failures Related to Sales of Shares in 83 Initial Public Offerings to Retail Customers https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1399396551358-LP7PV4E7G4R7ZYLZ47EO/image-asset.gif Blog - FINRA Fines Morgan Stanley Smith Barney LLC $5,000,000 for Supervisory Failures Related to Sales of Shares in 83 Initial Public Offerings to Retail Customers https://theinvestmentattorneys.com/investment-fraud-blog/2014/3/13/xmlzq1mxqujft76w5obp9vsybczlx7 monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1394751483211-2867X9289W8PDAKWRBFW/p036328.gif Blog - FINRA Fines Triad Advisors and Securities America a Total of $1.2 Million for Consolidated Reporting Violations https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1394751519073-FHWXM8AOJVMTXZEH2RNG/p036327.gif Blog - FINRA Fines Triad Advisors and Securities America a Total of $1.2 Million for Consolidated Reporting Violations https://theinvestmentattorneys.com/investment-fraud-blog/2014/2/24/zkza5zvtchot9bt0wksb2y0fdlvu12 monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1393261612956-3DYWIT6L2DALUMZMTP7Z/p036328.gif Blog - FINRA Fines Berthel Fisher and Affiliate, Securities Management & Research, $775,000 for Supervisory Failures Related to Sales of Non-Traded REITs and Leveraged and Inverse ETFs https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1393261647723-E3Z3CYMC3EHX7I3HJQ7J/p036327.gif Blog - FINRA Fines Berthel Fisher and Affiliate, Securities Management & Research, $775,000 for Supervisory Failures Related to Sales of Non-Traded REITs and Leveraged and Inverse ETFs https://theinvestmentattorneys.com/investment-fraud-blog/2014/2/10/patrick-joseph-donohue-crd-4439545-registered-representative-sausalito-california monthly 0.5 2014-02-10 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1392060055003-KHD94EQKW2AEXCPC26S3/p036328.gif Blog - Patrick Joseph Donohue (CRD #4439545, Registered Representative, Sausalito, California) was barred from FINRA. https://theinvestmentattorneys.com/investment-fraud-blog/2014/2/6/c1usi15mzm5ruqq4gcex6wvh1uzuz5 monthly 0.5 2015-07-25 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1391705286300-OA057B0KVRVJGQ8NPLNF/p036328.gif Blog - Bambi Iris Holzer, Registered Representative, West Hollywood, California was barred from association with any FINRA member in all capacities. https://theinvestmentattorneys.com/investment-fraud-blog/2014/2/6/finra-fines-brown-brothers-harriman-a-record-8-million-for-substantial-anti-money-laundering-compliance-failures monthly 0.5 2014-02-06 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1391703815234-Q5IWY60TDDAPEOQWLDO6/p036328.gif Blog - FINRA Fines Brown Brothers Harriman a Record $8 Million for Substantial Anti-Money Laundering Compliance Failures. Highest Fine Levied by FINRA for AML-Related Violations. https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1391703846265-Q0SVNZAZZBHM53U8Y3DU/p036327.gif Blog - FINRA Fines Brown Brothers Harriman a Record $8 Million for Substantial Anti-Money Laundering Compliance Failures. Highest Fine Levied by FINRA for AML-Related Violations. https://theinvestmentattorneys.com/investment-fraud-blog/2014/1/28/finra-issues-new-investor-alert-the-ira-rollover-10-tips-to-making-a-sound-decision monthly 0.5 2014-01-29 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1390926257258-VP76KPP6M05WWXCCM16T/p036328.gif Blog - FINRA Issues New Investor Alert: The IRA Rollover: 10 Tips to Making a Sound Decision https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1390926278955-66YDEVG10ZDVIM0HP1ZS/p036327.gif Blog - FINRA Issues New Investor Alert: The IRA Rollover: 10 Tips to Making a Sound Decision https://theinvestmentattorneys.com/investment-fraud-blog/2014/1/28/finra-fines-banorte-ixe-securities-475000-for-inadequate-anti-money-laundering-program-and-for-failing-to-register-foreign-finders monthly 0.5 2014-01-28 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1390926585306-OCRSR43KZH9AHW8RPM8Q/p036328.gif Blog - FINRA Fines Banorte-Ixe Securities $475,000 for Inadequate Anti-Money Laundering Program and for Failing to Register Foreign Finders https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1390926601864-5YRABGO8GMAMAJQJSHEV/p036327.gif Blog - FINRA Fines Banorte-Ixe Securities $475,000 for Inadequate Anti-Money Laundering Program and for Failing to Register Foreign Finders https://theinvestmentattorneys.com/investment-fraud-blog/2014/1/14/marijuana-stock-scams monthly 0.5 2014-01-28 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1389720550643-FN44WN02CA5DDUEWPP92/p036328.gif Blog - Marijuana Stock Scams https://theinvestmentattorneys.com/investment-fraud-blog/2014/1/14/finra-orders-stifel-nicolaus-and-century-securities-to-pay-fines-and-restitution-totaling-more-than-1-million-for-unsuitable-sales-of-leveraged-and-inverse-etfs-and-related-supervisory-pz3yj monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1389719289428-AGU6WG9SN9NRJH7UPI9B/p036328.gif Blog - FINRA Orders Stifel, Nicolaus and Century Securities to Pay Fines and Restitution Totaling More Than $1 Million for Unsuitable Sales of Leveraged and Inverse ETFs, and Related Supervisory Deficiencies https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1389719307488-YLTSNQOMWUVXXIZ789CH/p036327.gif Blog - FINRA Orders Stifel, Nicolaus and Century Securities to Pay Fines and Restitution Totaling More Than $1 Million for Unsuitable Sales of Leveraged and Inverse ETFs, and Related Supervisory Deficiencies https://theinvestmentattorneys.com/investment-fraud-blog/2014/1/8/finra-fines-barclays-375-million-for-systemic-record-and-email-retention-failures-1 monthly 0.5 2017-09-27 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1389208472207-E2J9V48U5BVV21FER6UU/imgres.jpg Blog - FINRA Fines Barclays $3.75 Million for Systemic 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Profile jon Furgison Martindale-Hubbell-AV-Preeminent-Rating highest rating for ethical standards and legal ability https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1389203464228-YS75VG5UQY85PY4BGWQ8/PIABA+Logo+High+Res.jpg Firm Profile Public investors arbitration bar association credentials for jon furgison https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1388601753463-KAR58LAC095H04VIT8IJ/State+Bar+of+California.png Firm Profile State Bar of California credentials for jon furgison https://theinvestmentattorneys.com/alaska daily 0.75 2015-09-30 https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1437678823463-AIFTCAQK4HMW3NYAXVMO/magnafying+glass.jpg Alaska Investment Attorneys https://images.squarespace-cdn.com/content/v1/528ace5be4b0ce19966dbec2/1437673499341-DSKNEI8RPUMBB4PNNQX9/image-asset.png Alaska Investment Attorneys 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