:
Updated:
Cornerstone Wealth Management (Las Vegas) Structured Note Investigation
:
Updated:
Marcel Pahmer Private Placement Investigation
:
Updated:
Integrated National Resources Shut Down By SEC
:
Updated:
Jazzberry Digital Solutions Investigation
:
Updated:
The Law Office of David Liebrader Announces Two Significant Cannabis Wins for Investors
:
Updated:
Investor wins judgment against Dustin Aab
:
Updated:
Chinese Businessman Patrick Sun Hit with Million Dollar Judgment
:
Updated:
Leveraged Silver Bullion Investments
:
Updated:
Virtual Communications Corporation Officer Found Liable to Investors
:
Updated:
Zabala Farms Managers hit with $3.8MM Judgment in Riverside Court
:
Updated:
Financial Advisor Carlos Isaac Hit with Million Dollar Judgment
:
Updated:
Securities America Broker Ronald Roach Barred
:
Updated:
Michael Tanha Suspended by FINRA
:
Updated:
Thomas Laws Silver City NM Charged by SEC
:
Updated:
David Ferwerda barred by FINRA
:
Updated:
Centaurus Financial Investigation into Structured CDs
:
Updated:
Cory Burnell Investment Advisor Investigation
:
Updated:
Artec Global Media and Caleb Wickman subject to CA Desist and Refrain
:
Updated:
Alvin Cohen Michael Reinboth and Ralph Muscatelli Desist and Refrain Order
:
Updated:
George Pidgeon Fund Raise for Francis Capital Management
:
Updated:
Michael Carter Henderson Nevada Broker Woodbridge Sales
:
Updated:
Bryan Gill Wedbush Securities Unlicensed Branch Office
:
Updated:
Jeremy Kisner Securities America Unlicensed Branch Activity
:
Updated:
Ricardo Cabrera Found Operating Unlicensed Branch Office
:
Updated:
Michael Bayliss Wealth Strategies Fund Investigation
:
Updated:
Lucia Securities Illiquid Investment Investigation
:
Updated:
GPB Capital Holdings Investigation
:
Updated:
Kalos Capital Private Placement Investigation
:
Updated:
Michael Kamperman Suspended by FINRA for Unsuitable Sales
:
Updated:
FINRA Bars Nina Jessee
:
Updated:
Gurpreet Chandhoke Sued by FINRA Over Private Securities Transactions
:
Updated:
Roger Owens FINRA Broker Suspended over Woodbridge Sales
:
Updated:
Jeffrey Schwebach Woodbridge Mortgage Fund investigation
:
Updated:
Frank Dietrich Woodbridge Mortgage Fund Investigation
:
Updated:
Patrick Teutonico Network 1 Broker Investigation
:
Updated:
Investor wins claim against Las Vegas businessman Ronald J. Robinson
:
Updated:
EB-5 Fraud: Practical Advice for Investors
:
Updated:
Future Income Payments Recovery Information
:
Updated:
Sheaff Brock Option Trading Investigation
:
Updated:
Peter Lewis Morgan Stanley Broker Pending Investigation
:
Updated:
Allegis Investment Advisors Hit With $900k Arbitration Award
:
Updated:
Alvery Bartlett Pending Investigation
:
Updated:
FINRA Suspends Jon VanSlooten
:
Updated:
John Piccarreto Suspended by FINRA
:
Updated:
Jeffrey Noard Suspended For Unsuitable Transactions
:
Updated:
FINRA Suspends Christopher Hickman Over UIT Sales
:
Updated:
FINRA Suspends Christopher Hawn
:
Updated:
Kejaun Yang Fined Suspended
:
Updated:
FINRA Suspends Richard Botkin
:
Updated:
Andrew Logullo fined and suspended
:
Updated:
Carlsbad Broker Tracy Turner Barred by FINRA
:
Updated:
Woodbridge Group Help for Victimized Investors
:
Updated:
Todd Seeholzer Pending Investigation
:
Updated:
Goldfield Oil Goldfield McKenzie Investigation
:
Updated:
Woodbridge Mortgage Investment Fund Under Fire From Securities regulators
:
Updated:
Financial West Investment Group Fined by Regulator
:
Updated:
FINRA Fines Coastal Equities over ETF Sales
:
Updated:
Orrville OH Broker Tom Brenner Barred
:
Updated:
Roy Woehrman Fined by FINRA Over Referral Deal
:
Updated:
Utah Broker Kim Dee Isaacson Barred
:
Updated:
Jason Likens Suspended over Private Loan Transaction
:
Updated:
David Gott Suspended over Private Securities Deals
:
Updated:
Craig Langweiler Barred by FINRA
:
Updated:
Hilliard Lyons Hit With Finra Award Over Breitburn Energy Sales
:
Updated:
FINRA fines Trident Partners over Steepeners
:
Updated:
Conestoga Life Settlements Agents Hit with Cease and Desist Order
:
Updated:
FINRA fines Mercury Securities
:
Updated:
Sean Sladek Sentenced to 46 Months for Wire Fraud
:
Updated:
Terry Bahgat Barred by FINRA Sued by SEC
:
Updated:
Sonya Camarco Charged by SEC
:
Updated:
Ernest Romer Barred by FINRA: Pending Investigation
:
Updated:
William Jordan Investments Investigation
:
Updated:
Kevin Wanner barred over CD Sales
:
Updated:
Jacqueline Georgio hit with $559k FINRA award
:
Updated:
Thunder Energies Corporation Unregistered Securities Issuance
:
Updated:
Northeast Securities slammed with $2.6MM arbitration award
:
Updated:
Wedbush Securities hit with $1.8MM Arbitration Award
:
Updated:
FINRA SEC Bar Clark Gardner
:
Updated:
Vincent Mehdizadeh agrees to $12MM settlement with SEC
:
Updated:
Bart Ellis pleads guilty to fraud
:
Updated:
Charles Laverty hit with $1.3MM arbitration award
:
Updated:
LPL Financial hit with $160,000 Award in VIX case
:
Updated:
Bob Simons of International Assets suspended by FINRA
:
Updated:
FINRA suspends LPL broker Todd Pilosi
:
Updated:
FINRA suspends former HD Vest broker John Olinghouse
:
Updated:
FINRA Bars Clay Hoffman
:
Updated:
FINRA Bars Ronald Broadstone
:
Updated:
Hossein Amirriahei Barred by FINRA
:
Updated:
BOK Financial to pay $1.6MM in Brogdon Muni Fraud Case
:
Updated:
Dwayne Edwards charged by SEC over Nursing Home Bonds
:
Updated:
Former J D Nicholas broker Don Fowler charged by SEC
:
Updated:
SEC charges Worden Capital’s Greg Dean
:
Updated:
Rusty Tweed charged by FINRA Investigation Pending
:
Updated:
FINRA suspends Don Saccomano
:
Updated:
FINRA bars Fontana broker William Roe
:
Updated:
FINRA Bars Jeff Kluge
:
Updated:
FINRA Bars NC Advisor Alonza Barnett
:
Updated:
Lonnie Nguyen barred by FINRA
:
Updated:
FINRA bars Quinn McClendon
:
Updated:
Broker Barry Jin Barred by FINRA
:
Updated:
Pending Investigation Barry Connell Charged by SEC
:
Updated:
Shane Melito Ordered to Pay Investor $51,459
:
Updated:
Sharon Fall Barred by FINRA and CFP Board
:
Updated:
FINRA suspends Richard Sampley over Energy Deal
:
Updated:
Pete Lappin suspended over UIT sales
:
Updated:
Kenley Brisard Barred over SBA Strip Sales
:
Updated:
FINRA bars Michael Babyak over outside business activities
:
Updated:
FINRA fines Fenix Securities over offshore business
:
Updated:
FINRA Fines Houlihan Capital Over Note Sales
:
Updated:
FINRA suspends Michael Quiles
:
Updated:
FINRA Bars Neil Pecker after CFTC Ban
:
Updated:
CFP Board Disciplines William Swayne
:
Updated:
Thomas Andrews Barred over Jackson Trust and Lincoln Sales
:
Updated:
Chris Cervino Barred over VGTL Manipulation
:
Updated:
Abida Khan Barred over VGTL Fraud
:
Updated:
NIck Shermeta Barred Over Penny Stock Sales
:
Updated:
FINRA suspends bars Brian Kennison
:
Updated:
FINRA suspends bars troy Baldridge
:
Updated:
Cheryl Lynn Wallace Barred by FINRA
:
Updated:
Donald Toomer Barred by FINRA
:
Updated:
FINRA Suspends Bars John Ezmat
:
Updated:
CFP Board Disciplines Triad Advisors’ Douglas Miller
:
Updated:
CFP Board Disciplines Sheldon Harber
:
Updated:
Michael Crowe Charged by Arizona Corporation Commission
:
Updated:
SEC Charges Alpine Securities Corporation
:
Updated:
Corecap Investments Named in Bad Broker Study
:
Updated:
Concorde Investment Services Named in Bad Broker Study
:
Updated:
Silber Bennett Financial Named in Bad Broker Study
:
Updated:
Great Nation Investment Corporation Named in Bad Broker Study
:
Updated:
BB Graham Company Named in Bad Broker Study
:
Updated:
Presidential Brokerage Named in Bad Broker Study
:
Updated:
Kovack Securities Named in Bad Broker Study
:
Updated:
Crescent Securities Group Named in Bad Broker Study
:
Updated:
Southeast Investments NC Named in Bad Broker Study
:
Updated:
Nationwide Planning Associates Named in Bad Broker Study
:
Updated:
Liberty Partners Financial Services Named in Bad Broker Study
:
Updated:
McNally Financial Services Named in Bad Broker Study
:
Updated:
Sandlapper Securities Named in Bad Broker Study
:
Updated:
Aegis Capital Corp Named in Bad Broker Study
:
Updated:
Laidlaw and Company Named in Bad Broker Study
:
Updated:
Capital Financial Services Named in Bad Broker Study
:
Updated:
Petersen Investments Named in Bad Broker Study
:
Updated:
Titan Securities Named in Bad Broker Study
:
Updated:
Garden State Securities Named in Bad Broker Study
:
Updated:
Newbridge Securities Corporation Named in Bad Broker Study
:
Updated:
Worden Capital Management Named in Bad Broker Study
:
Updated:
Boustead Securities Named in Bad Broker Study
:
Updated:
KCD Financial Named in Bad Broker Study
:
Updated:
Network 1 Financial Securities Named in Bad Broker Study
:
Updated:
Primex Named in Bad Broker Study
:
Updated:
Woodstock Financial Group Named in Bad Broker Study
:
Updated:
PHX Financial Named in Bad Broker Study
:
Updated:
Infinity Financial Services Named in Bad Broker Study
:
Updated:
Freedom Investors Corp Named in Bad Broker Study
:
Updated:
International Assets Advisory LLC Named in Bad Broker Study
:
Updated:
Dawson James Securities Named in Bad Broker Study
:
Updated:
Westpark Capital Named in Bad Broker Study
:
Updated:
Alexander Capital LP Named in Bad Broker Study
:
Updated:
IFS Securities Among Firms With Broker Disclosures
:
Updated:
First Standard Financial Company Named in Bad Broker Study
:
Updated:
Chelsea Financial Services Named in Bad Broker Study
:
Updated:
BMA Securities Named in Bad Broker Study
:
Updated:
Windsor Street Capital Named in Bad Broker Study
:
Updated:
American Trust Investment Services Named in Bad Broker Study
:
Updated:
Four Points Capital Partners Named in Bad Broker Study
:
Updated:
Arive Capital Markets Named in Bad Broker Study
:
Updated:
Joseph Stone Capital Named in Bad Broker Study
:
Updated:
Accelerated Capital Group Named in Bad Broker Study
:
Updated:
Dan Levin Hit With $241,000 Arbitration Award
:
Updated:
FINRA Bars Charles DeNormandie
:
Updated:
Sandra Canaba Barred by FINRA
:
Updated:
Invest Broker Amanda Burnett Barred by FINRA
:
Updated:
Merrill Broker Lionel Brooks Barred
:
Updated:
FINRA Bars John Boals
:
Updated:
Infinity Fuels Ryan Miguel Ordered to Cease and Desist
:
Updated:
Jared Artho Barred by FINRA
:
Updated:
FINRA Bars Broker Frank Scarso
:
Updated:
FINRA Bars North Carolina Broker Sherman Greer
:
Updated:
Chris Calandrino Barred by FINRA
:
Updated:
FINRA Bars Roberto Bastardo
:
Updated:
Ralph DeRose and Wunderlich Securities Hit With Million Dollar Arbitration Award
:
Updated:
Pending Investigation; Ricardo Cabrera REIT Transactions
:
Updated:
Robert Turpin Barred by FINRA
:
Updated:
Kyle Kurtz Suspended, Barred by FINRA
:
Updated:
FINRA Suspends, Bars Joe Don Treece
:
Updated:
FINRA Suspends, Bars Richard Raff
:
Updated:
FINRA Suspends Raymond Pirrello
:
Updated:
Wesley Oler Suspended by FINRA
:
Updated:
Dennis Hern Suspended by FINRA
:
Updated:
FINRA Suspends Jasper Boykin
:
Updated:
Joseph Ambrosole Suspended by FINRA
:
Updated:
Kuana Vick Suspended from FINRA
:
Updated:
Michael Vetere Suspended from FINRA
:
Updated:
Ladd Tanner Suspended by FINRA
:
Updated:
Craig Ruschmeyer Suspended by FINRA
:
Updated:
Tedla Khan Barred by FINRA
:
Updated:
Mark Stanczyk Pending Investigation
:
Updated:
SEC wins case vs. Aschere Energy
:
Updated:
FINRA Bars AllState Broker Michael Farinella
:
Updated:
Sam Campos Barred by FINRA
:
Updated:
Debbie Sue Arnold Barred by FINRA
:
Updated:
Marian Young denied license in CA
:
Updated:
Marc Sarner Barred by CA DOC
:
Updated:
Derrick Stephens hit with cease and desist in California
:
Updated:
Eric Grace Barred by CA
:
Updated:
Paul Moore Coast Capital Hit with C&D
:
Updated:
Source Capital’s James Duhon Hit with C&D
:
Updated:
Five Star Financial Hit with Cease and Desist
:
Updated:
Robert Estevez Suspended Over Steepener Trades
:
Updated:
FINRA Bars Joey Broussard
:
Updated:
Barbara Bottoms fined, suspended by FINRA
:
Updated:
Nikoh Securities fined by FINRA
:
Updated:
FINRA Bars Broker Jay Chitnis
:
Updated:
Hank Werner of Legend Securities Charged by FINRA
:
Updated:
Lance Slater Suspended by FINRA
:
Updated:
Encinitas Broker Derek Miller Suspended by FINRA
:
Updated:
Former UBS Broker David Lavine Barred by FINRA
:
Updated:
William Upchurch Barred by FINRA
:
Updated:
David Seigerman Barred by FINRA
:
Updated:
FINRA Bars James Ignatowich
:
Updated:
LPL’s Paul Dorion barred by FINRA
:
Updated:
Ken Kolquist Suspended by FINRA
:
Updated:
FINRA suspends Robert DePalo
:
Updated:
Alina Brindusescu suspended by FINRA
:
Updated:
Feltl Broker Lance Ziesemer Suspended by FINRA
:
Updated:
Cheryl Wallace Suspended by FINRA
:
Updated:
Melba Talbot Suspended by FINRA
:
Updated:
FINRA Suspends Chip Pledger
:
Updated:
FINRA Suspends Alfonso Papa
:
Updated:
Shaun Nagle Barred by FINRA
:
Updated:
FINRA Bars Rhonda Matthews
:
Updated:
Justin Krutsinger Suspended by FINRA
:
Updated:
Bryon Glime Suspended by FNRA
:
Updated:
Dean Friedman Barred by FINRA
:
Updated:
Perry DeLeeuw Barred by FINRA
:
Updated:
Fontaine Boutwell Suspended by FINRA
:
Updated:
Juan Alejos Suspended by FINRA
:
Updated:
Kim Padgett GWN Securities Broker Barred by FINRA
:
Updated:
Donald Lyons Banning CA broker barred by FINRA.
:
Updated:
Elias Katsis Barred byFINRA
:
Updated:
Christopher Cervino Barred by FINRA
:
Updated:
Francisco Camacho Barred by FINRA
:
Updated:
FINRA Charges Chris Ariola
:
Updated:
Adam Estes former JJB Hilliard broker suspended by FINRA
:
Updated:
Jonathan Casiano Barred by FINRA
:
Updated:
Thomas Brenner Suspended Over Medical Note Sales
:
Updated:
Michael Barranco Suspended Over Private Note Sales
:
Updated:
Pro Equities Fined Over ETF and Annuity Sales
:
Updated:
Neal Moon Charged by FINRA over Boxx Technologies Sales
:
Updated:
Rubicon Capital’s David Braeger Charged by FINRA
:
Updated:
George Zedan Barred by FINRA
:
Updated:
J.R. Gladden suspended by FINRA over Church Fund Sales
:
Updated:
Thomas Gackle Barred by FINRA
:
Updated:
Peter Alcure Fined, Suspended by FINRA
:
Updated:
Robert W. Baird Fined $200,000 by FINRA
:
Updated:
Wyoming Securities Laws
:
Updated:
Wisconsin Securities Laws
:
Updated:
West Virginia Securities Laws
:
Updated:
Washington Securities Laws
:
Updated:
Virginia Securities Laws
:
Updated:
Vermont Securities Laws
:
Updated:
Utah Securities Laws
:
Updated:
Texas Securities Laws
:
Updated:
Tennessee Securities Laws
:
Updated:
South Dakota Securities Laws
:
Updated:
Nevada Financial Certifications: New Law Protects Seniors
:
Updated:
Rhode Island Securities Laws
:
Updated:
Pennsylvania Securities Laws
:
Updated:
Oregon Securities Laws
:
Updated:
Oklahoma Securities Laws
:
Updated:
Ohio Securities Laws
:
Updated:
North Dakota Securities Laws
:
Updated:
North Carolina Securities Laws
:
Updated:
New Mexico Securities Laws
:
Updated:
New Hampshire Securities Laws
:
Updated:
Nebraska Securities Laws
:
Updated:
Montana Securities Laws
:
Updated:
Missouri Securities Laws
:
Updated:
Mississippi Securities Laws
:
Updated:
Minnesota Securities Laws
:
Updated:
Michigan Securities Laws
:
Updated:
Maryland Securities Laws
:
Updated:
Maine Securities Laws
:
Updated:
Louisiana Securities Laws
:
Updated:
Kentucky Securities Laws
:
Updated:
Kansas Securities Laws
:
Updated:
Iowa Securities Laws Information Center
:
Updated:
Indiana Securities Laws Information Center
:
Updated:
David Hackney, former LPL broker barred by FINRA
:
Updated:
Thomas Hayes, BOSC sued over bond losses
:
Updated:
John Waszolek Sued By Arizona Securities Division
:
Updated:
Community National Bank IRA Custodian
:
Updated:
Kingdom Trust Company Lawsuit Update
:
Updated:
South Carolina Securities Laws Recovery Center
:
Updated:
Illinois Securities Laws Recovery Center
:
Updated:
Idaho Securities Laws Recovery Center
:
Updated:
Hawaii Securities Laws Recovery Center
:
Updated:
Georgia Securities Laws Recovery Center
:
Updated:
Delaware Securities Laws Recovery Center
:
Updated:
Connecticut Securities Laws Recovery Center
:
Updated:
Colorado Securities Laws Recovery Center
:
Updated:
Arkansas Securities Laws Recovery Center
:
Updated:
Arizona Securities Laws Recovery Center
:
Updated:
Alaska Securities Laws Recovery Center
:
Updated:
Alabama Securities Laws Investment Loss Recovery
:
Updated:
FINRA bars Lance Shaw
:
Updated:
Warren Rockmacher Suspended by FINRA
:
Updated:
FINRA Suspends Ameriprise Broker John Pemberton
:
Updated:
Pedro Astacio Suspended by FINRA
:
Updated:
Kola Lulgjuraj Suspended by FINRA
:
Updated:
FINRA Suspends Bingyi Hu
:
Updated:
Ben Halali Suspended by FINRA
:
Updated:
FINRA Suspends Assan Faal
:
Updated:
FINRA Bars Phillip Donnan
:
Updated:
FINRA Suspends Matthew Cocco
:
Updated:
Mohamed Baksh Barred by FINRA
:
Updated:
Virgil Santos Barred by FINRA
:
Updated:
Former State Farm Broker Jim Harrington Barred by FINRA
:
Updated:
FINRA Bars Aaron Armstrong
:
Updated:
Pending Investigation: Allegis Investment Advisors
:
Updated:
FSC Securities Owes Investor $60,000
:
Updated:
Raymond James Ordered to Pay Investor $600,000
:
Updated:
Ami Forte Morgan Stanley Hit With $33 Million Award
:
Updated:
Meyers Associates Ordered to Pay Investor
:
Updated:
National Securities Corp. Hit with $500,000 Award
:
Updated:
Stern Fisher Edwards Hit with $300,000 Arbitration Award
:
Updated:
Morgan Stanley Spanked With $8.5 Million Award
:
Updated:
Centaurus Financial Hit With $150,000 Arbitration Award
:
Updated:
Royal Alliance Hit with $870,000 FINRA Award
:
Updated:
Cornerstone Wealth Management Ordered to Pay Investor
:
Updated:
Keith Bettex Suspended by FINRA
:
Updated:
Dennis Van Patter Suspended By FINRA
:
Updated:
Xavier Endress Barred by FINRA
:
Updated:
FINRA bars Mark Ciriaco
:
Updated:
FINRA Bars Zachary Bader
:
Updated:
Feltl and Company fined $50,000 by FINRA
:
Updated:
FINRA Suspends Tom Labeau
:
Updated:
Tatyana Andreyeva Suspended by FINRA
:
Updated:
FINRA Bars Gene Smietana
:
Updated:
FINRA Suspends Wells Broker Mary Reed
:
Updated:
FINRA Bars Hancock Broker Brett McCullough
:
Updated:
FINRA bars MML Broker Tony Jung
:
Updated:
FINRA suspends Adam Carrol
:
Updated:
Louis Kittlaus Suspended by FINRA
:
Updated:
Tracy Wengert Barred by FINRA
:
Updated:
Karen Tautges Parisian suspended by FINRA
:
Updated:
David Scholl Suspended by FINRA
:
Updated:
Michael Duch Suspended by FINRA
:
Updated:
Randy Burke Barred Over Lodge Alaska Sales
:
Updated:
FINRA fines Maxwell Simon Over Micro-Cap Sales
:
Updated:
FINRA fines Geneos Wealth Managment Over LP Sales
:
Updated:
Capital Securities Management Fined by FINRA
:
Updated:
Daniel Crowley CT Broker Suspended by FINRA
:
Updated:
J.R. Gladden Fined, Suspended by FINRA
:
Updated:
FINRA Charges Caldwell International Securities
:
Updated:
Reno Broker Andy Quinn Barred by FINRA
:
Updated:
Betsy Marcom Suspended by FINRA
:
Updated:
Charles Laverty Suspended by FINRA
:
Updated:
Rick Esparza Barred by FINRA
:
Updated:
Larry Crabtree suspended by FINRA
:
Updated:
Lincoln Financial Fined for Penny Stock Failures
:
Updated:
Liberty Associates fined by FINRA
:
Updated:
Finance 500 Hit With $500,000 Fine by FINRA
:
Updated:
Robert Dull Suspended by FINRA
:
Updated:
Woodley Bagwell Suspended by FINRA
:
Updated:
Eric Kuchel Barred by FINRA
:
Updated:
Aon Miller Suspended Two Years By FINRA
:
Updated:
Michael Winegar Barred by FINRA
:
Updated:
Kevin Wanner Barred By FINRA Over CD Sales
:
Updated:
Jason Sayles Suspended By FINRA
:
Updated:
Michael Hajek Suspended 18 Months by FINRA
:
Updated:
Peter Dourdas Barred by FINRA
:
Updated:
Penates Group Fined By FINRA
:
Updated:
Fulcrum Securities Fined $20,000 by FINRA
:
Updated:
Curtis Worrell Suspended by FINRA
:
Updated:
Charles McInnis of CP Capital Suspended By FINRA
:
Updated:
FINRA Bars Gerard Fagnant Over Customer Loan
:
Updated:
Frank Capuano Suspended Over Woodbridge Note Sales
:
Updated:
Jeffrey Borneman Fined, Suspended By FINRA
:
Updated:
Anthony Blackshear Suspended by FINRA
:
Updated:
World Equity Group Fined $50,000 By FINRA
:
Updated:
PTX Securities Fined $20,000 By FINRA
:
Updated:
CP Capital Securities Fined $70,000 By FINRA
:
Updated:
Chris Tolmacs Barred by FINRA
:
Updated:
John Shockey Suspended One Year By FINRA
:
Updated:
Tom Schober Barred by FINRA Over Annuity Exchanges
:
Updated:
Harold Joe Petro Suspended Six Months By FINRA
:
Updated:
Kelsey Molyet Barred by FINRA
:
Updated:
Alicia Moe (aka Alicia Leach) Barred by FINRA
:
Updated:
Aldo Marchena Suspended by FINRA
:
Updated:
Kevin Kuhlow Former LPL Broker Barred by FINRA
:
Updated:
Jeff Ingros Barred by FINRA
:
Updated:
Richard Crescenzo Suspended by FINRA
:
Updated:
Christopher Burtraw Barred by FINRA
:
Updated:
Noyeg Arkoian Fined, Suspended by FINRA
:
Updated:
Oakbridge Financial Services Fined $20,000 by FINRA
:
Updated:
Lombard Securities Fined $50,000 by FINRA
:
Updated:
David Seigerman Suspended by FINRA
:
Updated:
Rudy Luo aka Jaoshiang Luo Suspended by FINRA
:
Updated:
Don Iley Former Broker Barred by FINRA
:
Updated:
Demetrios Hallas Suspended by FINRA
:
Updated:
Kora Crowder Former Merrill Lynch Broker Suspended by FINRA
:
Updated:
Ash Narayan Ticket Reserve Charged by SEC
:
Updated:
FINRA Suspends Travis Shannon Santa Barbara Broker
:
Updated:
FINRA Suspends Broker Tom Ottman
:
Updated:
FINRA Suspends Indiana Broker Karen Kane
:
Updated:
FINRA Suspends Mutual of Omaha Broker Rodney Cochran
:
Updated:
Financial Planner Robert Chan Suspended by FINRA
:
Updated:
Randy Bostick Suspended by FINRA
:
Updated:
Dmitry Borochin Suspended by FINRA
:
Updated:
Natalia Pesin Suspended by FINRA
:
Updated:
Calvin Moores Suspended By FINRA
:
Updated:
Quyen Loong Suspended By FINRA
:
Updated:
Jose Huerta Former Wells Fargo Broker Suspended by FINRA
:
Updated:
James Brennan of T.R. Winston Suspended by FINRA
:
Updated:
Alex Battle Formerly of Princor Financial Suspended by FINRA
:
Updated:
Stephen Anders Suspended by FINRA
:
Updated:
Gordon Adamson Suspended by FINRA
:
Updated:
Kayla Paul Lindsey Suspended by FINRA
:
Updated:
Kristal Johnson Suspended by FINRA
:
Updated:
Kenneth Dlouhy Suspended by FINRA
:
Updated:
Randy Alford of Southeast Investments Suspended by FINRA
:
Updated:
Steven Aguilar Suspended by FINRA
:
Updated:
Paul Steffany Barred By FINRA
:
Updated:
Robert Kerrigan Barred By FINRA
:
Updated:
Credit Nation Sued by SEC; Asset Freeze, Receiver Appointed
:
Updated:
Unionbanc Investment Services Hit with $450,000 Award
:
Updated:
George Dobbins Edward Jones Broker in Del Rio TX Barred
:
Updated:
Angelos Tsigounis Barred by FINRA
:
Updated:
Sean Portnoy Plano, TX Broker Barred by FINRA
:
Updated:
Bernard Parker former Edward Jones Broker Barred
:
Updated:
Rogelio Guevara Suspended by FINRA
:
Updated:
Larry Goldston Suspended by FINRA
:
Updated:
Thomas Buono Suspended by FINRA
:
Updated:
Ricardo Broome Suspended by FINRA
:
Updated:
Keith Bettex Suspended by FINRA
:
Updated:
Tom Andrews, LPL Broker from Utah, Suspended by FINRA
:
Updated:
Darnell Deans Suspended from FINRA Membership
:
Updated:
Mark Holt Suspended by FINRA
:
Updated:
Jerrid Douglas Suspended by FINRA
:
Updated:
Russell Carbonara Suspended by FINRA
:
Updated:
VFG Securities and Jason VanClef Charged by FINRA
:
Updated:
Steve Ybarra of Gardnerville, NV Barred by FINRA
:
Updated:
Bahram Mirhashemi Barred by FINRA
:
Updated:
Accelerated Capital Group Fined and Censured by FINRA
:
Updated:
Daniel McCourt Suspended Two Years by FINRA
:
Updated:
Securities America Fined $250,000 by FINRA
:
Updated:
GVC Capital Fined and Censured by FINRA
:
Updated:
IRA Resources Update on Lawsuit
:
Updated:
Pensco Trust Company Lawsuit Update
:
Updated:
Guy Gentile of StockUSA Charged by SEC
:
Updated:
John Heath of Independent Financial Group Investigation
:
Updated:
Investigation: Elliot Blonde of RBC Wealth Management
:
Updated:
Update on Lawsuit Against Summit Trust Company
:
Updated:
Update on Lawsuit Against Provident Trust Group
:
Updated:
Update on Lawsuit against Vantage Retirement Plan IRA
:
Updated:
Update on Lawsuit against Equity Trust Company
:
Updated:
Update on Lawsuit against New Direction IRA
:
Updated:
Update on Complaint Against The Entrust Group
:
Updated:
Investigation: Kenneth Anderson of IBN Financial Services
:
Updated:
Pension Advance and Pension Income Stream Investments
:
Updated:
Pension Funding LLC Investment Loss Recovery
:
Updated:
Wade Lawrence Barred by FINRA, SEC, Sentenced to Prison
:
Updated:
Bart Ellis Named in FINRA and AZ Complaints
:
Updated:
David Escarcega Barred By FINRA Over GWG Sales
:
Updated:
Legend Securities Hit With $61,000 Arbitration Award
:
Updated:
John Schemetti Found Liable For $1.6 Million Judgment
:
Updated:
Reza Baharimehr Hit With Million Dollar Judgment In Nevada
:
Updated:
Portfolio Advisors Alliance Charged by SEC
:
Updated:
Lanis Noble Ordered to Pay $1.2 Million Arbitration Award
:
Updated:
IBN Financial Services Inc. Securities Law Violation
:
Updated:
Intervest International Hit With Arbitration Award
:
Updated:
Steven Wyatt Ridgeland MS Broker Suspended
:
Updated:
Fred Brister Ridgeland MS Broker Ordered to Pay $2.3 Million
:
Updated:
Kevin Fifer, Capital City Securities Ordered to Pay $32,312
:
Updated:
Zak Chivi Subject of $346,881 arbitration Award
:
Updated:
Nomura Securities Ordered to Pay $250,000 Bonus to Rep
:
Updated:
Unionbanc Investment Services Hit with $450,000 Award
:
Updated:
Gopi Vungarala Purshe Kaplan Broker – Pending Investigation
:
Updated:
Woodbury Financial Services Ordered to Pay $444,000 to Investor
:
Updated:
Steelpoint Securities Hit With $100,000 FINRA Arbitration Award
:
Updated:
Ron Harrod formerly with Steelpoint Securities – Notice
:
Updated:
Robin Wolfgram formerly with Cetera Advisors suspended by FINRA
:
Updated:
Teule Williams formerly with J.P. Morgan suspended by FINRA
:
Updated:
Richard Isgrig suspended by FINRA
:
Updated:
Saimir Sam Collaku suspended by FINRA
:
Updated:
Toby Blackwood formerly with PFS Investments suspended by FINRA
:
Updated:
Keith Bettex formerly with Pruco Securities, suspended by FINRA
:
Updated:
Ray Aleksey former Wells Fargo Broker Suspended by FINRA
:
Updated:
Prospect Global Resources Investment Loss Recovery Center
:
Updated:
James R. Glover Barred by SEC Over Colonial Tidewater Sales
:
Updated:
SEC Bars Marc Mandel over Ditto Trade Activities
:
Updated:
Dawn J. Bennett of Bennett Group Financial Charged by SEC
:
Updated:
Sheik Khan Charged with VGTel Fraud by SEC
:
Updated:
Larry Werbel Charged by the SEC for VGTel Sales
:
Updated:
Tatyana Andreyeva Suspended by FINRA
:
Updated:
Gene Smietana of LPL Financial Suspended by FINRA
:
Updated:
Andreas Kentrotas Suspended by FINRA
:
Updated:
SEC Bars Edward Borg Over Natural Alternatives Trades
:
Updated:
Howard Richards’ Gatekeeper Sales Targeted by SEC
:
Updated:
SEC Wins $580 Million Ponzi Judgment against MRI International and Edwin Fujinaga
:
Updated:
SEC Charges Life Settlement Firm Pacific West Capital Group
:
Updated:
SEC Charges VGTel Owner Edward Durante with Fraud
:
Updated:
Clermont FL Broker Greg Townes hit with FINRA Award
:
Updated:
SEC Charges Pacific West Capital Group Over Life Settlements
:
Updated:
SEC Charges Veros Partners with Farm Loan Scheme
:
Updated:
SEC Charges North Dakota Developments, principals Gavin and Hogan
:
Updated:
SEC charges Clear Path’s Patrick Churchville
:
Updated:
SEC Charges SoCal Broker Chad Wiegand
:
Updated:
SEC Freezes Assets of Capital Cove Bancorp and Rashid Khalfani
:
Updated:
SEC obtains order freezing Interinvest assets
:
Updated:
SEC Charges Malcolm Segal with Running Ponzi Scheme
:
Updated:
SEC Charges Dwight Baldwin with Securities Violations
:
Updated:
SEC settles tip case with Vladimir Eydelman
:
Updated:
SEC charges Harrison Schumacher and Quantum Energy
:
Updated:
SEC charges UBS broker Jose Ramirez for securities violations
:
Updated:
SEC settles case with Bill Fretz’ Covenant Partners LP
:
Updated:
SEC charges Jason Mogler of Pangea Investment Group with Fraud
:
Updated:
SEC Charges Former Nomura Trader Tyler Peters
:
Updated:
SEC Charges Former Nomura Broker Michael Gramins
:
Updated:
SEC Charges Nomura’s Ross Shapiro over RMBS Sales
:
Updated:
SEC Stops GenAudio From Raising Cash in Private Placement
:
Updated:
SEC Charges Houston Financial Advisor Eldrick Woodley
:
Updated:
SEC Files Suit Against Iftikar Ahmed
:
Updated:
SEC charges former Edward Jones broker Bernard Parker
:
Updated:
FINRA bars Boca broker Aldo Comuzzi
:
Updated:
San Diego broker Ryan Bowers fined, suspended by FINRA
:
Updated:
FINRA fines, suspends Davis CA broker Jim Belenis
:
Updated:
FINRA fines Wiley Bros. Aintree Capital for supervisory lapse
:
Updated:
FINRA fines Sterne Agee for leveraged ETF Sales
:
Updated:
FINRA bars Dayton broker Jeff Mohlman of Questar Capital
:
Updated:
FINRA suspends Houston broker Matt Schomburg
:
Updated:
FINRA suspends Las Vegas broker Todd Shanholtzer
:
Updated:
Reno NV broker Daniel Pancake barred by FINRA
:
Updated:
FINRA charges Plano based Red River Securities
:
Updated:
FINRA charges Equinox Securities and Chris Palkowitsh
:
Updated:
FINRA files complaint against Chestnut Exploration Partners
:
Updated:
FINRA fines De Pere’s KCD Financial (on appeal)
:
Updated:
FINRA bars Scottsdale broker John Waszolek
:
Updated:
FINRA bars Seal Beach broker Mike Talin
:
Updated:
FINRA suspends Joe Schroeder of Wunderlich Securities
:
Updated:
FINRA bars San Antonio broker Emily Pena
:
Updated:
FINRA bars Santa Monica broker Matthew Levitt
:
Updated:
Traverse City broker Ken Hornyak barred by FINRA
:
Updated:
FINRA bars Merrill Lynch broker Dylan Grayson
:
Updated:
FINRA suspends Newport Coast Securities broker Vikas Goel
:
Updated:
FINRA bars Jonah Engler over Metals, Milling & Mining sales
:
Updated:
FINRA bars Louisiana broker Malcolm Babin
:
Updated:
FINRA suspends Vfinance broker Jeffrey Auerbach
:
Updated:
FINRA bars Chandler AZ broker Eddie Sitton
:
Updated:
FINRA bars Hawaii broker Tiffany Peacock Asakawa
:
Updated:
FINRA bars broker Aviv Hen
:
Updated:
FINRA bars broker Stephen DeGroat
:
Updated:
FINRA bars broker Cory Don Williams
:
Updated:
FINRA bars Sparks NV broker Jack Scherbert
:
Updated:
FINRA suspends Palm Harbor FL broker Mark Quimby
:
Updated:
Webster, NY broker Francesco Puccio barred by FINRA
:
Updated:
FINRA bars Nevada broker Glenn Moffitt
:
Updated:
FINRA accuses Newport Coast Securities brokers of churning
:
Updated:
Dallas TX broker and radio host Daniel Levin suspended by FINRA
:
Updated:
Barry Hartman of Missoula MT barred by FINRA
:
Updated:
Broker Ken Crosser barred by FINRA
:
Updated:
Walter Chao fined, suspended by FINRA
:
Updated:
FINRA censures, fines H. Beck $40,000
:
Updated:
FINRA censures, fines Cedar Point Capital
:
Updated:
FINRA fines, censures Braymen, Lambert and Noel Securities
:
Updated:
Broker Ken Miles of Redlands CA suspended by FINRA
:
Updated:
Broker BJ Guido suspended by FINRA
:
Updated:
John Galinsky suspended by FINRA
:
Updated:
Ameriprise Broker Lilin Hsu suspended by FINRA
:
Updated:
Broker Richard Drown suspended by FINRA
:
Updated:
FINRA suspends broker Donna Beers
:
Updated:
Ron Reuven suspended from FINRA membership
:
Updated:
FINRA suspends Anthony Ottimo from membership
:
Updated:
FINRA suspends broker Matthew Ortman
:
Updated:
Britt Lachemann suspended by FINRA
:
Updated:
FINRA suspends James Konaxis from membership
:
Updated:
FINRA suspends former Lincoln Financial broker Hugh Hunsinger
:
Updated:
Jose Carbajal formerly of Merrill Lynch suspended by FINRA
:
Updated:
FINRA suspends broker Christopher Birli from membership
:
Updated:
Nicholas Bentivenga suspended from FINRA membership
:
Updated:
Jesse Holovacko suspended from FINRA membership
:
Updated:
Gary Steciuk suspended from FINRA membership
:
Updated:
FINRA arbitration award against Reno broker Jon Sanchez
:
Updated:
Ken Severinsen suspended from FINRA membership
:
Updated:
FINRA suspends Engjell Pasha from membership
:
Updated:
FINRA suspends Paul Posillico from membership
:
Updated:
Gerald Coscia suspended from FINRA membership
:
Updated:
FINRA suspends Matt Beninato from Membership
:
Updated:
FINRA suspends Sean Barrett from Membership
:
Updated:
FINRA Suspends Jay Lustig From Membership
:
Updated:
SEC charges Bobby M. Collins with Fraud
:
Updated:
Homer Vining suspended from FINRA membership
:
Updated:
Robert Tricarico suspended from FINRA membership
:
Updated:
Daniel Micha suspended from FINRA membership
:
Updated:
James Avola FINRA membership suspended
:
Updated:
Horace Stubblefield suspended from FINRA
:
Updated:
Noah Myers suspended from FINRA
:
Updated:
Brendon Lyden FINRA membership suspended
:
Updated:
FINRA suspends Michael Kinney membership
:
Updated:
FINRA suspends Greg Hilliard membership
:
Updated:
FINRA suspends Patrick Bray from membership
:
Updated:
Broker Niyukt Bhasin suspended from FINRA membership
:
Updated:
Broker Gregg Berger suspended from FINRA membership
:
Updated:
FINRA suspends broker Enver Alijaj
:
Updated:
Khaled “Kal” Eldaher FINRA membership suspended
:
Updated:
Barred broker Jason Muskey sued by SEC
:
Updated:
Former broker Fred McMenimen sued by SEC
:
Updated:
Former broker John D’Auria pleads guilty to fraud
:
Updated:
SEC opens proceedings against Jonathan Warren Brooks
:
Updated:
SEC charges William Apestelos with running a ponzi scheme
:
Updated:
Frank Savigne FINRA membership suspended
:
Updated:
Jason Mininger FINRA membership suspended
:
Updated:
Peter Gouzos FINRA membership suspended
:
Updated:
Hugh Dyson FINRA membership suspended
:
Updated:
Robert Altemus FINRA membership suspended
:
Updated:
James Ackerman FINRA membership suspended
:
Updated:
Donald McBirney FINRA membership suspended
:
Updated:
Josh Krieg FINRA membership suspended
:
Updated:
John Cech suspended from FINRA membership (reinstated April 2015)
:
Updated:
Candius Bannister FINRA membership suspended
:
Updated:
Alyn Towne FINRA membership suspended
:
Updated:
John Thornes’ FINRA membership suspended
:
Updated:
Joan Perry suspended from FINRA membership
:
Updated:
Anthony Locantore suspended from FINRA membership
:
Updated:
Said Javidi FINRA membership suspended
:
Updated:
Warren Weems suspended from FINRA membership
:
Updated:
Howard Isaacson suspended from FINRA membership
:
Updated:
Nigel Graham suspended from FINRA membership
:
Updated:
Michael DiPietro suspended from FINRA membership
:
Updated:
Zachary Bader FINRA Membership Suspended
:
Updated:
Deepal Wannakuwatte ordered to pay $100 million in restitution
:
Updated:
Feltl and Company
:
Updated:
Kenneth Graves
:
Updated:
Tracy Spaeth
:
Updated:
Citivest Residential Income and Total Return Fund
:
Updated:
Robert Herget
:
Updated:
Robert Kerrigan Barecelona Advisors
:
Updated:
Michael Blake
:
Updated:
Craig Josephberg
:
Updated:
Jeff Daggett
:
Updated:
FINRA Rule on Private Securities Transactions
:
Updated:
Bradley Claus
:
Updated:
Dick Adcock
:
Updated:
Ascendiant Capital Markets
:
Updated:
FINRA’s Suitability Rule
:
Updated:
Patrick Churchville
:
Updated:
Norma Skeete
:
Updated:
Michael Korson
:
Updated:
Michael Ciuffo
:
Updated:
Vir2us sales through Merrion Securities
:
Updated:
Dutch Melzer
:
Updated:
Malcolm Segal
:
Updated:
FINRA Fines LPL for REIT Violations
:
Updated:
Kenneth Statly
:
Updated:
Keilen Wiley
:
Updated:
Kalos Capital
:
Updated:
Jeffrey Meyer
:
Updated:
Giovanni Acevedo
:
Updated:
Charles Fackrell
:
Updated:
Douglas Finlay, Jr.
:
Updated:
Douglas Dannhardt
:
Updated:
Daniel Retzke
:
Updated:
Daniel Glavin
:
Updated:
Bridgeport Oaks Fund – ARI Financial
:
Updated:
Aegis Capital Corp
:
Updated:
Oil Company Death List
:
Updated:
Suitability
:
Updated:
Outside Business Activities “Selling Away”
:
Updated:
Promissory Notes
:
Updated:
Ponzi Schemes
:
Updated:
Penny Stocks
:
Updated:
Illiquid Investments
:
Updated:
FINRA
:
Updated:
Duty to Supervise
:
Updated:
Due Diligence, or “Kicking the Tires” on an Investment
:
Updated:
How to Recognize Churning in your Account
:
Updated:
Can You Recover Investment Losses?
:
Updated:
Aaron Parthemer
:
Updated:
FINRA claims down, customer win rate up in 2012
:
Updated:
FINRA issues Notice on Complex Products
:
Updated:
The “JOBS Act”: Danger Ahead for Investors?
:
Updated:
KMS Financial settles with ponzi scheme victims
:
Updated:
SunTrust Investment Services Fined $1.4 MM For Unsuitable Investments
:
Updated:
TRO against Firstar Financial Group Of Oklahoma
:
Updated:
Montana Man Guilty In $1.7MM Ponzi Scheme
:
Updated:
Warning re: BP Oilspill Cleanup Investments
:
Updated:
Recovery For Victims Of Unregistered Missouri Securities Broker
:
Updated:
Former NC Day Trader Pleads Guilty To Fraud
:
Updated:
More fallout from the Brookstreet Securities debacle
Securities Fraud Lawyer Blog