Blog Categories
- 1031 Exchanges (1)
- Advisory Group (1)
- Aegis Capital (10)
- Allied Millennial Partners (1)
- Ameriprise (7)
- Annuities (6)
- Arete Wealth Management (1)
- Arkansas Securities Commissioner (2)
- Aurora Securities (1)
- Ausdal Financial (2)
- Avantax Investment Services (2)
- Avatar Securities (1)
- B. Riley Wealth (2)
- B.B. Graham & Company (1)
- BB&T (1)
- Beam & Associates (1)
- Berthel Fisher (4)
- Cadaret Grant & Co. (3)
- California Securities Act (6)
- Cambridge Investment Research (3)
- Cantella & Company (1)
- cape securities (1)
- Capital Investment Group (1)
- Centaurus Financial (8)
- Center Street Securities (4)
- Cetera Advisors (11)
- Churning (1)
- Citibank (1)
- Civil Litigation (10)
- Client Alerts (48)
- Colorado (1)
- Commercial Litigation News (17)
- Commonwealth Financial Network (1)
- Concorde Investment Services (3)
- Craft Capital (1)
- Craft Capital Management (1)
- Crown Capital (1)
- Crypto (5)
- CUNA Brokerage Services (1)
- CUSO Financial Services (1)
- D.H. Hill Securities (1)
- DAI Securities (3)
- Day Trading (1)
- Dempsey Lord Smith (1)
- DFPG Investments (1)
- Edward Jones (3)
- Emmerson Equity (2)
- Equitable Advisors (5)
- 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 (2)
- Florida (1)
- Forta Financial Group (1)
- Fortune Financial Services (2)
- FSC Securities (1)
- Garden State Securities (1)
- Geneos Wealth Management (1)
- GPB Capital (8)
- Great Point Capital (3)
- Green Vista Capital (1)
- Grove Point Investments (1)
- H. Beck (1)
- Hawaii (1)
- Hennion & Walsh (1)
- Herbert J. Sims (1)
- HLM Financial Services (1)
- IBN Financial (1)
- Independent Financial Group (2)
- Interactive Brokers (1)
- International Assets Advisory (3)
- Investment Advisors (5)
- Investment Network (1)
- Investment Products (1)
- Investor Education (12)
- 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)
- Lincoln Financial (1)
- LPL Financial (24)
- Madison Avenue Securities (2)
- Maine (1)
- Mariner Wealth Advisors (1)
- Massachusetts (1)
- Maxim Group (1)
- Merrill Lynch (25)
- Met Life (2)
- Missouri (1)
- MML Investor Services (13)
- Moloney Securities (3)
- Money Concepts (3)
- Monmouth Capital (3)
- Moors & Cabot (2)
- Morgan Stanley (24)
- NatAlliance Securities (1)
- National Securities (5)
- New Hampshire (3)
- New Jersey (1)
- Newbridge Securities (3)
- Next Financial (2)
- NI Advisors (1)
- Northwestern Mutual (2)
- NY Life (3)
- Ohio National Life (1)
- Oppenheimer (6)
- Paulson Investment Company (2)
- Pennsylvania (2)
- PHX Financial (2)
- Pinnacle Investments (1)
- Ponzi Schemes (6)
- Primerica (3)
- Principal Securities (2)
- Private Placements (2)
- Prospera Financial (1)
- Purshe Kaplan (4)
- Raymond James (10)
- RBC Capital Markets (5)
- Regulation D (2)
- Regulus Advisors (1)
- REITs (4)
- Royal Alliance Associates (5)
- 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 (3)
- Securities Fraud (2)
- Securities Litigation News (35)
- Settlements (2)
- Sigma Financial (1)
- sisu capital (1)
- Spartan Capital (4)
- Stifel Nicolaus (5)
- Stonebridge Financial Advisors (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 (2)
- Uncategorized (7)
- Vanderbilt Securities (2)
- vcs venture securities (2)
- Virginia (1)
- Voya Financial (2)
- Wedbush Securities (2)
- Wells Fargo (16)
- Western International Securities (6)
- Woodbury Financial (7)
- Worden Capital (2)
Contact Us
Recent Blogs
Ed Baroncini: Excel Wealth Adviser Involved in ETF Disputes
Ed Baroncini (CRD# 3043354), a broker registered with LPL Financial, is involved in investor disputes alleging that supervisory failures caused more than $1 million in
Joao Pinto Sanctioned over High Frequency Trading
Joao Pinto (CRD# 6298233), a broker registered with Spartan Capital Securities, recommended unsuitable transactions in a retired customer’s account, according to a recent disciplinary action.
Robert DeChick Allegedly Over-Concentrated Investments
Robert DeChick (CRD# 4152582), a broker registered with D.H. Hill Securities, misrepresented and recommended unsuitable investments, according to investor disputes. MDF Law is currently investigating
William Weisbrod Barred over Allegedly Risky Strategy
William Weisbrod (CRD# 812664), formerly a broker registered with Purshe Kaplan Sterling, breached his fiduciary duties, according to a recent disciplinary action. MDF Law is
Rod Potratz Involved in Suitability Disputes
Rod Potratz (CRD# 2367896), a broker registered with Osaic Wealth, recommended unsuitable investments, according to investor disputes. MDF Law is investigating the Clive, Iowa-based financial
Sara Qazi: FINRA Suspends Raymond James Broker
Sara Qazi (CRD# 4118177), a broker registered with Raymond James & Associates, participated in an unapproved private securities transaction, according to a disciplinary action. MDF
Jennifer Basey Allegedly Paid Customers over Trading Complaint
Jennifer Basey (CRD# 4730054), a broker registered with American Global Wealth Management, resigned from Stifel Nicolaus & Company after acknowledging that she paid cash to
Viqas Akhtar Allegedly Made Excessive, Unauthorized Trades
Viqas Akhtar (CRD# 5624412), a broker registered with B. Riley Wealth Management, made unauthorized and excessive trades, according to an investor dispute. MDF Law is
Todd Coates Involved in 6-Figure Suitability Dispute
Todd Coates (CRD# 2453725), a broker registered with Securities America, is involved in an investor dispute alleging unsuitable recommendations. MDF Law is investigating the Tyler,
Sean Zhang Embroiled in Suitability Disputes
Sean Zhang (CRD# 5050282), formerly a broker registered with Wells Fargo, is involved in several investor disputes alleging unsuitable recommendations. MDF Law is investigating the
Marc Hallick Involved in $6.5 Million Dispute
Marc Hallick (CRD# 4652410), a broker registered with Raymond James & Associates, made unsuitable sales on margin, according to an investor dispute. MDF Law is
Keith Curtis Barred by FINRA: “Potential Conversion of Funds”
Keith Curtis (CRD# 4798755), formerly a broker registered with Aegis Capital, refused to cooperate with an investigation into whether he converted funds, according to an