Blog Categories
- 1031 Exchanges (1)
- A.G. Morgan Financial Advisors (2)
- Advisory Group (1)
- Aegis Capital (13)
- Allied Millennial Partners (1)
- AllState Financial Services (1)
- American Trust Investment Services (1)
- Ameriprise (10)
- Annuities (6)
- Arete Wealth Management (1)
- Arkansas Securities Commissioner (2)
- Aurora Securities (1)
- Ausdal Financial (2)
- Avantax Investment Services (4)
- Avatar Securities (2)
- B. Riley Wealth (2)
- B.B. Graham & Company (1)
- BB&T (1)
- Beam & Associates (1)
- Benjamin F. Edwards & Company (1)
- Berthel Fisher (4)
- Bitcoin (3)
- Cadaret Grant & Co. (3)
- California Securities Act (6)
- Cambridge Investment Research (7)
- Cantella & Company (1)
- cape securities (1)
- Capital Investment Group (4)
- Centaurus Financial (12)
- Center Street Securities (4)
- Cetera Advisors (15)
- Chelsea Financial Services (1)
- Churning (1)
- Citibank (2)
- Civil Litigation (10)
- Client Alerts (52)
- Colorado (1)
- Colorado Financial Service Corporation (1)
- Commercial Litigation News (17)
- Commonwealth Financial Network (1)
- Concorde Investment Services (4)
- Corinthian Partners (1)
- Craft Capital (1)
- Craft Capital Management (1)
- Crown Capital (1)
- Crypto (8)
- CUNA Brokerage Services (1)
- CUSO Financial Services (1)
- D.H. Hill Securities (1)
- DAI Securities (3)
- David Lerner Associates (1)
- Day Trading (1)
- Dempsey Lord Smith (1)
- DFPG Investments (1)
- Dominari Securities (1)
- Edward Jones (5)
- EF Hutton (1)
- Emerson Equity (2)
- Emmerson Equity (2)
- Empirikal Partners (2)
- Equitable Advisors (6)
- Excel Wealth Management (1)
- Farmers Financial Solutions (1)
- FINRA Arbitration News (16)
- FINRA Arbitrations (2)
- FINRA AWCs (5)
- FINRA Complaints (2)
- FINRA Investigations (1)
- First Allied Securities (3)
- First Horizon Advisors (1)
- First Trust Portfolios (1)
- Florida (1)
- Forta Financial Group (1)
- Fortune Financial Services (2)
- FSC Securities (1)
- Garden State Securities (1)
- Gemini Capital Partners (1)
- Geneos Wealth Management (1)
- Glenn Capital (1)
- GPB Capital (8)
- Great Point Capital (3)
- Green Vista Capital (2)
- Grove Point Investments (1)
- H. Beck (1)
- Harvest Volatility Management (1)
- Hawaii (1)
- Hennion & Walsh (1)
- Herbert J. Sims (1)
- HLM Financial Services (1)
- IBN Financial (2)
- iCap Equity (1)
- Independent Financial Group (3)
- Innovation Partners (1)
- Interactive Brokers (1)
- International Assets Advisory (2)
- Investment Advisors (5)
- Investment Network (1)
- Investment Products (1)
- Investor Education (12)
- J. Streicher & Company (1)
- J.K. Financial Services (1)
- Janney Montgomergy (4)
- Joseph Stone (3)
- JW Cole Financial (1)
- Kalos (1)
- Kentucky (4)
- Kestra Investment Services (2)
- Laidlaw & Co., Inc. (4)
- Landolt Securities (1)
- Life Insurance (2)
- LIfeMark Securities (1)
- Lincoln Financial (1)
- LPL Financial (30)
- Madison Avenue Securities (2)
- Maine (1)
- Mariner Wealth Advisors (1)
- Massachusetts (1)
- Maxim Group (1)
- McNally Financial Services (1)
- Merrill Lynch (29)
- Met Life (2)
- Missouri (1)
- MML Investor Services (15)
- Moloney Securities (4)
- Money Concepts (3)
- Monmouth Capital (3)
- Moors & Cabot (2)
- Morgan Stanley (27)
- NatAlliance Securities (1)
- National Securities (5)
- New Hampshire (3)
- New Jersey (1)
- Newbridge Securities (6)
- Next Financial (2)
- NI Advisors (1)
- Northwestern Mutual (2)
- NY Life (4)
- Ohio National Life (1)
- Oppenheimer (7)
- Osaic Wealth (3)
- Paulson Investment Company (2)
- Pennsylvania (2)
- PFS Investments (2)
- PHX Financial (2)
- Pig Butchering (1)
- Pinnacle Investments (1)
- Ponzi Schemes (6)
- Portsmouth Financial Services (1)
- Primerica (2)
- Principal Securities (2)
- Private Placements (2)
- Proctor Investments (1)
- Prospera Financial (1)
- Pruco Securities (3)
- Purshe Kaplan (5)
- Raymond James (10)
- RBC Capital Markets (5)
- Realta Equities (1)
- Regulation D (2)
- Regulus Advisors (1)
- Reid & Rudiger (1)
- REITs (5)
- Retirement Specialty Group (1)
- Royal Alliance Associates (5)
- Rubicon Wealth Management (1)
- S.A. Stone Wealth Management (1)
- Sagepoint Financial (1)
- Sanford Bernstein & Company (1)
- Saxony Securities (1)
- SEC Cease and Desist (1)
- SEC Complaints (9)
- SEC Settlements (6)
- Securities America (2)
- Securities Fraud (2)
- Securities Litigation News (35)
- Settlements (2)
- Sigma Financial (1)
- Silver Leaf Partners (1)
- SIM Swapping (3)
- sisu capital (1)
- Smith Moore & Company (1)
- Somerset Securities (1)
- Spartan Capital (7)
- Steward Partners (4)
- Stifel Nicolaus (8)
- Stonebridge Financial Advisors (1)
- StoneX Securities (1)
- Summit Brokerage Services (1)
- summit planning group (1)
- Sutter Securities (1)
- SW Financial (2)
- Texas (1)
- The Investment Center (1)
- Thrivent Investment Management (1)
- Transamerica (4)
- Triad Advisors (1)
- Truist Investment Services (4)
- Trustees (1)
- UBS (4)
- Uncategorized (14)
- United Planners’ Financial Services (2)
- Vanderbilt Securities (2)
- vcs venture securities (2)
- Virginia (1)
- Voya Financial (2)
- WealthPlan Partners (1)
- Wedbush Securities (2)
- Wells Fargo (18)
- Western International Securities (10)
- Woodbury Financial (7)
- Worden Capital (2)
- Wright Wealth (1)
Contact Us
Recent Blogs
Richard Eden Allegedly Misrepresented Energy 12 Investment
Richard Eden (CRD# 2145727), a broker registered with David Lerner Associates, recommended unsuitable Energy 12 investments, according to a pending dispute. MDF Law is investigating
Collin Fingon Fired over Selling Away Allegations
Collin Fingon (CRD# 4832770), an adviser registered with International Assets Investment Management, sold investments away from his former firm, according to allegations by the firm.
George Snyder Suspended over Exchange-Traded Product Sales
George Snyder (CRD# 4276539), formerly a broker registered with Ameriprise Financial, violated Regulation Best Interest, according to a recent sanction. MDF Law is investigating the
Gustavo Dolfino Settles SEC Fraud Charges
Gustavo Dolfino (CRD# 2565725), formerly a broker registered with Silver Leaf Partners, defrauded investors in his education-technology startup, according to recent charges. MDF Law is
Tommy Bolton Allegedly Misrepresented Investment
Tommy Bolton (CRD# 1398115), a broker registered with Stifel Nicolaus, recommended unsuitable annuities, according to a denied investor dispute. MDF Law is investigating the Fayetteville,
Terry Mitchell Allegedly Misappropriated Funds
Terry Mitchell (CRD# 6320029), formerly a broker registered with Pruco Securities, misappropriated funds, according to a recent investor dispute. MDF Law is investigating the former
Tamber Proctor Allegedly Sold Unsuitable FS Energy Investments
Tamber Proctor (CRD# 4316378), an investment adviser registered with Proctor Investments, recommended unsuitable securities, according to a pending investor dispute. MDF Law is investigating the
Victor Lessinger Suspended by FINRA: Suitability Allegations
Victor Lessinger (CRD# 830821), formerly a broker registered with Colorado Financial Service Corporation, recommended unsuitable investments, according to a recent disciplinary action. MDF Law is
Colton Jacob Suspended and Fined by FINRA
Colton Jacob (CRD# 6602283), formerly a broker registered with Steward Partners, participated in an unapproved outside business activity, according to a disciplinary action. MDF Law
Jay Geaslen, Avantax Broker, Allegedly Sold Unsuitable REIT
Jay Geaslen (CRD# 2124281), a broker registered with Avantax, recommended unsuitable investments, according to an investor dispute. MDF Law is investigating the Atlanta, Georgia-based financial
Ivan Ffriend, Cetera Adviser, Suspended by FINRA
Ivan Ffriend (CRD# 1013083), a broker registered with Cetera, violated industry rules, according to a recent disciplinary action. MDF Law is investigating the New Rochelle,
Gus Tsamos, Spartan Adviser, Allegedly Made Excessive Trades
Gus Tsamos (CRD# 2782014), formerly a broker registered with Spartan Capital Securities, recommended excessive and unsuitable trades, according to a recent sanction. MDF Law is