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Travis Salley Allegedly Engaged in Outside Business Activity
Tom Swan Allegedly Misrepresented Bond Investments
Brian Nelson Involved in Elder Abuse Dispute
David Slater Allegedly Improperly Shared Commissions
Mike McFeely Allegedly Sold Unsuitable Oil & Gas Investments
Bert Takita Suspended over Alleged Outside Business Activities
Anida Venniro Allegedly Made Improper Private Transactions
Vince Glenn Allegedly Engaged in Cherry-Picking Scheme
Stephen Nitz Allegedly Charged Excessive Fees
Chad Zawacki Involved in Denied Trading Disputes
Christian de Berardinis Allegedly Engaged in Unapproved Offering
Howard Graham Suspended over Alleged Violations
Michelle Stebbins Allegedly Made Supervisory Failures
Baris Cavalar Charged by the Securities and Exchange Commission
Jeffrey Arsenault Misappropriated Client Funds
John Perez-Cubano Allegedly Misappropriated Funds
Brett Straub Involved in $300,000 Dispute
Ashlee Godfrey Barred by FINRA: Misrepresentation Allegations
Hacker Responsible for SEC SIM Swap Arrested
Keith D’Agostino Allegedly Made Excessive Trades
Tracy Longstreet Allegedly Stole from Customer Accounts
Eileen Cure Allegedly Recommended Unsuitable Investments
Thomas Hamlin Allegedly Sold Unsuitable iCap Investments
Matt Peacock Allegedly Misrepresented Activision Bonds
Edward Rudiger & Marc Harrison: Churning Allegations
Joe Zheng Allegedly Made Unsuitable Recommendations
Garrett Moretz Allegedly Misrepresented GWG L Bonds
Rich Gibson Allegedly Sold Unsuitable DSTs
Trey Trapp Allegedly Made Unauthorized Trades
Coinbase SIM Swapping Scams: Victims of Crypto Theft Have Options
Hagin Richeson Allegedly Engaged in Unjust Enrichment
Ceondre Colvin Allegedly Made Unauthorized Withdrawals
James McArthur Charged by SEC: Par Funding Allegations
Gaylord Rohloff Allegedly Recommended Unsuitable Bonds
Michael Coyne Involved in Equity-Linked Note Allegations
Philip Gibson Involved in GWG Disputes
Ninth Circuit: AT&T May Be Liable for Millions in Sim Swap Case
Loren Morrison Allegedly Made Unauthorized Trades
Craig Allen Allegedly Defrauded Cheetah Fund Investors
Pig Butchering Scams: Victims May Have Recovery Options
Elliot Sherer Allegedly Engaged in Churning, Suitability Violations
Gihan Fernando Allegedly Misrepresented REITs
Christopher Cacace Suspended Over Alleged Churning
Drive Planning Faces SEC Ponzi Scheme Charges
Coinbase Customer Support Scams: Recovery Options for Victims
Scott Mason Allegedly Misappropriated Millions
Tim Jefferson Allegedly Misappropriated Funds
AT&T Hack Puts Millions of Users at Risk of SIM Swapping
Will Duffy Allegedly Recommended Unsuitable Investments
Lawrence Nagel Allegedly Sold Unsuitable Bonds, Annuities
Robert Earls Allegedly Misappropriated Client Funds
David Goldstein Allegedly Misrepresented GWG L Bonds
Sean Mostero Allegedly Had “Inappropriate Relationship” with Client
T. Sloan Thompson Allegedly Made Unsuitable Trades
FBI Releases Statistics on Bitcoin Fraud
Mark Post Allegedly Engaged in Unapproved Outside Business
John Forrester Allegedly Committed Fraud
Rich Ceffalio Allegedly Recommended Unsuitable Investments
Vincent Camarda Charged in Alleged Par Funding Fraud
Hugo Hernandez Allegedly Misappropriated Client Funds
Jeffrey Higgins Allegedly Misappropriated Funds Since 2007
Andy Egber Allegedly Refused to Cooperate with Theft Inquiry
Bitcoin’s 21 Million Cap Can be Hacked
Attention Gerry Linarducci’s Drive Planning Investors
Tory Duggins Allegedly Made Excessive Trades
Gary Costello Allegedly Made Unauthorized Trades
Pat Hobert Allegedly Recommended Unsuitable Investment
Michael Archimede Barred after Customer Loan
Doron Kochavi Suspended over Trading Allegations
Helen Caldwell Pleads Guilty to “Nearly $1.5 Million” Elder Fraud
Sean Fields Fired over Customer Loan Allegations
Tim Tremblay Embroiled in Suitability Disputes
Dan Droeg Embroiled in 6-Figure Dispute
Legal Options for Hacked Gemini Exchange Users
The Case Against Bitcoin
Gary Gensler, Satoshi Nakamoto and the Bitcoin Loophole
KB Diversified Healthcare Investors
Alex Kline Allegedly Sold Unsuitable Investments
RAD Diversified REIT Complaints
Coinbase Phishing Scams: Victims Have Recovery Options
Todd Lesk Embroiled in $1 Million Dispute
Tamara Glenn Embroiled in Investor Disputes
John Saunders Allegedly Made Unauthorized Trades
Chris Wright Involved in Suitability Dispute
Drew Reinhardt Allegedly Made Excessive Trades
Ed Baroncini: Excel Wealth Adviser Involved in ETF Disputes
Joao Pinto Sanctioned over High Frequency Trading
Robert DeChick Allegedly Over-Concentrated Investments
William Weisbrod Barred over Allegedly Risky Strategy
Rod Potratz Involved in Suitability Disputes
Sara Qazi: FINRA Suspends Raymond James Broker
Jennifer Basey Allegedly Paid Customers over Trading Complaint
Viqas Akhtar Allegedly Made Excessive, Unauthorized Trades
Sean Zhang Embroiled in Suitability Disputes
Marc Hallick Involved in $6.5 Million Dispute
Keith Curtis Barred by FINRA: “Potential Conversion of Funds”
Troy Orlando Suspended over Excessive Trading Allegations
Kirk Crossen Involved in $6 Million Suitability Dispute
Richard Tulloch Involved in NorthStar REIT Dispute
James Blaszyk Involved in $400,000 Suitability Dispute
Robert Blake Allegedly Sold Unsuitable Real Estate Investment
Kyung Song Resigned from MML: Fraud Allegations
Coinbase Phishing Scheme Highlights Risk to Crypto Investors
Clarisse Tur Allegedly Made Unauthorized Trades
Kurt Berry Involved in Resolute/Petrorock Oil & Gas Dispute
Bob Marquez Barred by FINRA: Pre-IPO Private Placements
Raul Benitez Allegedly Sold Unsuitable NorthStar Investment
Brian Dumont Embroiled in $500,000 Dispute
Larry Waller Allegedly Failed to Diversify Assets
Joseph Beam Involved in GWG Holdings Disputes
Jilena Yuen-Han Mok Sanctioned: Unauthorized Trading Allegations
Luke Lannister Allegedly Churned Investments
Kevin Zappia Suspended over Trading Allegations
Aubrey Lee Involved in Variable Annuity Dispute
Fera Shivaee Allegedly Sold Unsuitable Bond
Sid Bindra Allegedly Misrepresented Structured Note
Bob Lorente Allegedly Sold Unsuitable REITs
Rick Leininger: FINRA Suspends Broker over Trading Allegations
David Gibbs: MML Fires Broker over Loan from Customer
Justin Funakara Fired over Allegedly Improper Transaction
Devin Patel Involved in $1.5 Million Investor Dispute
James Burton Terminated over Private Transaction
Philip Stair Allegedly Misrepresented Bond Investment
Chris Kirkland Allegedly Made Unauthorized Trades
Norman Harp Involved in 6-Figure Bond Dispute
John Marcheso Embroiled in Oil & Gas Dispute
Mark Tevebaugh Allegedly Sold Unsuitable Annuity
Adam Belardino Pleaded Guilty to Embezzlement
Julie Darrah: SEC Charges Allege $2 Million Fraud
Tyler Camp Allegedly Misrepresented Variable Annuity
Marty Valade Involved in Excessive Trading Dispute
Gus Rodrigo: FINRA Suspends Sutter Securities Broker
Josh Baker: Variable Annuity Dispute Seeks $5 Million
FINRA Suspends MML Broker Tony Cross
Paris Lewis Involved in Variable Annuity Dispute
Patrick Cavanagh Suspended over 6-Figure Arbitration Award
Andrew Pesner Embroiled in 6-Figure Negligence Complaint
Yudi Rosenzweig Involved in 6-Figure Annuity Dispute
Kevin Springstead Allegedly Churned Investments
Todd Blessing: CUSO Settles Allegations Against Cincinnati Broker
Jeff Gitterman Allegedly Gave Misleading GPB Advice
Joseph Audia Allegedly Sold Unsuitable Stocks
Michael Corrada Involved in Alternative Investment Dispute
Kevin Kelly: Structured Note Dispute Seeks $977,000
Bert Takita Resigns from Equitable Advisors Amid Investigation
Ray Guarini Resigns from Paulson Investment Company
Richard Urciuoli: SEC Sanctions Adviser over VXX ETN Trading
Rene Castro Involved in 6-Figure Disputes
Jimmy Monken Embroiled in $750K Investor Dispute
SEC Charges Timothy Overturf, Sisu Capital
Andrew Kubicsko Involved in Thornburg Mutual Fund Dispute
Lorraine Gallette: Disputes Seek 7-Figure Damages
Pierre Hilario Barred by FINRA: Private Placement Investigation
Rocco Maselli Involved in 6-Figure Dispute
Peter Goffin Allegedly Misrepresented GWG L Bonds
Danny Strain Allegedly Churned Investments
Ivan Gefen, Newbridge Broker, Involved in $1.2 Million Dispute
Former Merrill Broker Peter Eckerline Involved in $242 Million Dispute
Linda Wimsatt: GWG L Bond Disputes Seek 6 Figures
Merrill’s Alan Mann Involved in New Customer Dispute
Bill Horak Allegedly Sold Unsuitable ARC REITs
Bill Conn: Investor Disputes Settled for 7 Figures
Paulson’s John Nole Involved in GWG L Bond Dispute
Former LPL Broker Deborah Anderson Involved in Nine Disputes
FINRA Bars Kevin Cory, Alleges Fake Account Statements
IBN’s Robert D’Agosta Involved in 6-Figure Dispute
Kerry Hoffman Allegedly Sold Unsuitable Stocks
Linda Schnell Allegedly Led Unsuitable Mutual Fund Strategy
Michael Solomon Suspended by FINRA
Wells Fargo’s Charles Shields: FINRA Recommends Disciplinary Action
FINRA Suspends Matthew Platnico, Former Allied Broker
Landolt’s Bret Schaefer Involved in Settled Disputes
Wray Rodgers Barred Over Alleged Misuse of Customer Funds
Sean Sherwin: PHX Broker Involved in $2 Million Complaint
Centaurus Broker Bill Burks Involved in More Customer Disputes
Wells Fargo’s Andy Hill Racks up More Customer Complaints
Sterling Hirsch Fined $20,000 by California Regulator
Centaurus Broker John Starke Racks up More Complaints
Concourse’s Troy Perkins Allegedly Sold Unsuitable Oil & Gas Products
Maury Lomax Involved in $1 Million Investor Dispute
Jeremy Jacobson: FINRA Suspension Alleges Unauthorized Trades
Moloney Broker Jack Hebner Involved in More Investor Disputes
Blake Levy Suspended by FINRA
Customer: Robeson Hilton Recommended Unsuitable Annuity
Arete’s Shane McMillan Involved in More Customer Complaints
Investor Arbitration Concerning Randall Duggan Filed
Oppenheimer Fired Zach Taylor Over Trading Allegations
FINRA Bars Jermaine Benjamin Over Misappropriation Allegations
Complaint: Axiom’s Robert Doyle Caused $1 Million Damages
Prospera Financial’s Michael Tretheway Sanctioned by Regulators
Nathan Paulson Allegedly Caused $5 Million Damages
Michael Coraggio Allegedly Made Unauthorized Trades
Spectrum Capital’s Scott Kemps Involved in $400,000 Investor Dispute
Eric Garcia: Infinex Broker Involved in Offshore Annuity Disputes
Swan Financial’s Bill Dobbs Involved in More Customer Disputes
Darien Bonney: Barred Broker Involved in Spyglass Dispute
Wells Fargo’s James Paige Involved in More Investor Disputes
Complaint: Chris Passero Recommended Ponzi Scheme to Client
Merrill Lynch’s Scott Nash Allegedly Recommended Excessive Trades
Investor: James Schrack Sold Unsuitable GWG L Bonds
Landolt’s Jason Slezak Involved in GWG L Bond Dispute
Philip van Staden Involved in Complaint Over Conservation Easements
Wealthforge Securities’s CCO Involved in $10 Million Due Diligence Complaints
Center Street’s Glenn Romer: GWG L Bond Disputes
Former Cetera Broker Rebecca Ng-Tsang Involved in New Investor Dispute
IDEX’s John Mateyko Involved Multiple Investor Disputes
Investors Allege Cara Miller Sold Unsuitable Energy Investments
Investors Continue Filing Complaints Against Arni Diamond
Tim Thelen Accused of Unsuitable GWG L Bond Recommendations
Robert Vance: SEC Probing Moloney Securities Advisor
Eric Kubiak Resigned from Ameriprise over Alleged Business Activity
Long Island Broker Jason Walsh Involved in $3.7 Million Investor Dispute
Investor: Stiefel Broker Robert Macaluso Misrepresented Investments
Investor Seeks $450,000 in New Dispute Involving Money Concept’s Ray Reese
Cecilia Chou Allegedly Failed to Disclose Outside Business Activity
Tucson Broker Todd Anderson Forced to Resign from Kingswood Capital
Jason Cook Involved in Investor Dispute over Oil Investments
Michelle Wu Terminated from Principal Securities and Fined by Regulator
James Warring: Dispute Involving EagleStone Broker Seeks $4.5 Million
Green Vista Capital Fires Randall Skrabonja Over Private Investments
Bill King Resigned from Merrill Lynch Over Trading Violations: Customer Suits Followed
Great Point’s Jon Cirelli Involved in Multiple Investor Disputes
Sean Sullivan Accused of Unauthorized Trading
Former RBC Broker Paul Koch Accused of Stealing from Clients
Austin Broker James Etter Resigns over Private Investment Deals
Ron Filoramo Fired by Morgan Stanley Over Outside “Investments”
Recovery Options for American Patriot Brands Investors
Brian Gilder and Darryl Cohen Arrested
Did You Invest with BKCoin Management?
Stiefel’s Chuck Roberts Involved in $1 Million Complaint
Azmi Sharif Terminated by LPL Over Outside Business Activities
Pennsylvania Advisors Kevin Kane and Sean Kane Charged with Fraud by the SEC
Ross Berman Fired by Merrill Lynch in Florida
Raymond James’s Colin Seibert Involved in New Customer Arbitration
Terrance Reagan Charged by SEC over Excessive Commissions
Moloney Securities’ Jeff Morris Involved in Four Investor Complaints
Jeff Bishop Fired by Principal Securities over Trading Practices
LPL’s Robert Li Involved in Second Investor Complaint
T-Mobile Data Breach Exposes Customers to SIM Swap Fraud
Current and Former Wells Fargo Brokers with Significant Disclosure Histories
Did You Invest with Caz Craffy?
Did You Invest with Rhett Bedwell?
Gemini Earn Suspends Withdrawals: Legal Options?
FTX Makes First Substantive Bankruptcy Filing
Attention Native American Energy Group Investors
FINRA Announces Investigation into James Stuart of Richfield Orion International
Recovery Options for JMJ Capital Investors
Bob Thomas Terminated from Avantax Investment Services in Bangor
Recovery Options for Clients of Gabriel Edelman and Edelman Blockchain
Options for Hacked Coinbase Users
FINRA Releases Information about Recent Broker Terminations
Investigation: GWG L Bond Sales Made by Gaylord Rohloff
Did You Purchase GWG L Bonds from Sonny Thapar?
SEC Charges Western International Securities over GWG L Bond Sales
Fariba Madison Involved in Investor Complaint over GWG L Bonds
Former Manhattan Ridge Advisors Broker Brian Donnelly Sanctioned by FINRA
Sim Swap Lawyer: Crypto Theft Can be Traced Back to Sim Card Swap
Arbitration Complaint Filed Against Morgan Stanley Concerning Shawn Good
Former Thrivent Broker Jonathan Hendrickson Has History of Complaints
Recovery Options for Clients of Philip Riposo & Riposo Asset Management
FINRA Rule 2165: Protecting Seniors by Freezing Assets
Former Wells Fargo Adviser Robert Player Has History of Disclosures
Howell “Gregg” Ferguson: Forgery Allegations Against Bellville Broker
Fired Western International Securities Rep Chris Kennedy Involved in $5 Million Complaint
FINRA Sanctions Aegis Broker Joe LaScala Over Trading Violations
Investor Lawsuits: Don’t Get Burned By Life Settlements
REIT Complaint Filed Involving Infinex Advisor Michael Chandler
Variable Annuity Complaint Against Merrill Lynch’s Milton Tanaka
Investor Lawsuits to Recover Business Development Company Losses
Mark Gelbman Involved in Investor Dispute After being Fired by Principal Securities
Fremont Broker AiRung Liu Involved in FINRA Arbitration Complaint
Investor Files Complaint Involving Georgia Based Woodbury Financial Broker Ralph Waller
William Notrica Fired by RBC Over Trading Violations
Investor Files REIT Complaint Involving Berthel Fisher Advisor Scott Brannan
Kirk Badii Involved in $3 Million Complaint
Arkansas Fines John Townshend and Palm Beach Capital Corp. over Investment Fund
Merrill Lynch Fires Joseph Szal Over Trading Violations
Keith Gebert Sanctioned By New Jersey Securities Bureau
FINRA Complaint: Wisconsin Broker William Mielke Allegedly Churned Investments
$500,000 Complaint Filed Over Kelvern Chen’s Sale of Northstar Trust
Investment Losses and Taxes: What Investors Need to Know for 2022
FS Energy and REIT Complaints Continue for former LPL Rep Kevin Houser
Former Wells Fargo Advisor Mario Rivero Indicted by the Feds
Investor Lawsuit Filed Against FAT Brands Inc.
Risky Option: Did Your Advisor Tell You the Risks About Covered Calls?
Securities Fraud Lawsuit Filed Against Cabaletta Bio, Inc. (CABA)
$870,000 REIT Complaint Alleges Wrongdoing by Financial Advisor Joseph Langlois
Securities Fraud Lawsuit Filed Against Telos Corporation (TLS)
Did You Buy PRMH Lenders Fund Through Joel Flannigan?
Securities Fraud Lawsuit Filed Against Akebia Therapeutics, Inc. (AKBA)
Complaints Involving Justin Dieter End with Customer Settlements
Did You Invest in Zima Digital Assets Through Art Hoffman?
Protecting Yourself From a Bitcoin Ponzi Scheme
Robert Gleason Fired by Cantella & Co. Over Concentration Letters
Robert Abee Has a History of Problems with Customers and Regulators
Former Arque Capital Broker Plagued by Investor Complaints
Investors File Complaints Against Cetera Investment Services
How to Avoid Being the Victim of Securities Fraud
Long Island Broker Edward Pinney Sanctioned by FINRA
Monmouth Capital Broker Has History of Complaints: FINRA
Indiana Broker Larry Hill Has History of Investor Settlements
Securities Fraud Complaint Filed Against Pulse Biosciences
Long Island Broker Matt Bullen Involved in $1.2 Million Complaint
CMG Capital Management Fined by SEC Over Fund Advertising
Securities Fraud Lawsuit Filed Against Fennec Pharmaceuticals (FENC)
Robert Baird Resigns from Moors & Cabot Over Trading Improprieties
Securities Fraud Lawsuit Filed Against Acutus Medical
Daedalian Financial Services’ Owner Jerry O’Halloran Plagued by Investor Complaints
Securities Fraud Complaint Filed Against Talis Biomedical (TLIS)
Securities Fraud Lawsuit Filed Against Electric Last Mile Solutions, Inc. f/k/a Forum Merger III Corp. (NASDAQ: ELMS)
Todd Sivak Involved in Investor Dispute Over Mutual Fund Meltdown
Former Morgan Stanley Broker David Snell Involved in Multiple Investor Settlements
Joseph Noyes Sanctioned by FINRA over Annuity Sales
Securities Fraud Complaint Filed Against Gatos Silver (GATO)
Rex Harris Fined by State of Montana Over REIT Sales
SEC Files Fraud Charges against Knight Nguyen Investments and Forrest Jones
$620,000 Settlement Reached in Dispute Concerning James Hyland’s Customer Loans
EB-5 Investors File Multi-Million Complaint Involving Stanley Bradshaw
Securities Fraud Complaint Filed Against NRx Pharmaceuticals
Investor Files $200,000 Complaint Against Wilmington Capital Securities
FINRA Arbitration Statistics for 2021: Deck Continues to be Stacked Against Investors
Former JP Morgan Advisor Derek Johnson Involved in $1.2 Million Investor Dispute
Securities Fraud Complaint Filed Against Meta Materials (MMAT)
Securities Fraud Lawsuit Filed Against Talkspace
Morgan Stanley’s David Lehnertz Involved in $5 Million Suitability Complaint
Former LPL Advisor John Quinn Suspended Over Hemp Investments
Bedsore Lawsuit Caused by Negligence at Nursing Homes
Joan Norton: FINRA Sanctioned Woburn Broker over Rollover
Former GMS Broker William Ornstein Had History of Customer Complaints
Understanding the Risks of Securities Backed Line of Credit (SBLOC)
Don Kowalsky: Key Planning Rep Involved in REIT Complaint
Denny Haywood: Investor Complaints Continue for Former Crown Capital Broker
Did You Lose Money in Options Trading with Anthony Gallea?
William Winchester Involved in Multimillion Arbitrations Following Tennessee Consent Order
Jeffrey Cohen No Longer Affiliated with Moloney Securities After Millions in Complaints
How To Sue Your Financial Advisor
Rodney Kumlien Scrutinized by Wisconsin over Annuity Sales
Birth Injury Attorney: Understanding HIE
Cory Bataan Has History of Customer Complaints and Settlements
Keith Baron: Customer Settlements Add-up For Former Long Island Broker
Did you Purchase GWG L Bonds from Tony Barouti?
Former CIO of Infinity Q Funds Charged with Securities Fraud
Did You Lose Money in Oil with Jason Jodway Financial?
Oppenheimer Advisor Mark Frommer Involved in New Investor Complaints
Pattern of ‘Denied’ Annuity Complaints for Jason Peplinski
What Is the Difference between Whole Life and Universal Life Insurance?
Did You Lose Money with Vince Mastrovito?
Investor Complaints Continue for Chuck Cox Financial
Comprehensive Capital Management (CCM) Fined for Misleading Statements
FINRA: Kurt Stein Involved in $300,000 Complaint
Attorney: IVF Mix-up Can Lead to Lawsuits
Jan Haynes Orchestrated Apollo Income Fund Fraud
Elder Fraud Attorney: Did You Lose Money?
Oppenheimer Broker Gustavo Miramontes Involved in Unauthorized Trading Cases
Broker Sean Casterline Suspended Over Senior Living Investments
Court: Wells Fargo’s Lawyer Rigged Complaint Process
O.N. Investment Management Fined Over Conflicts of Interest Complaint
NJ Broker Pat Guadagno Has History of Investor Disputes
Anesthesia Negligence or Inherent Risk?
IRS Hires Additional 200 Attorneys to Prosecute Syndicated Conservation Easement Investors
Legal Options for PetroRock Mineral Investors
Is My Financial Advisor a Fiduciary?
Judge: Wells Fargo’s Lawyer Had Secret Deal with FINRA To Rig Arbitrations
Recovery Options for GWG L Bond Investors
Recovery Options for FS Energy and Power Fund Investors: Updated January 2022
Avantax Investment Services Settles Dispute Involving Brian Stephens for $275,000
H. Beck Pays $1.25 Million to Settle Customer Complaint
Morgan Stanley Pays $300,000 to Settle Jacob Cobby Shapira Complaint
Former UBS Broker German Nino is Arrested
Settlements Reached in Complaints Involving Discipline Advisors Joe Minchaletz
Merrill Lynch Fires Alabama Advisor Pat Brown and Pays $4.2 Million Customer Settlement
Complaint Against Merrill Lynch Settles for $1.8
Royal Alliance Broker Paz Chandra Involved in $100,000 Dispute
Kirk Knollman Fired from Cetera Advisors
Birth Injury Lawsuits Cased by Delivery Room Mistakes
Geneos Advisor Robert Stanlick Involved in Two Customer Complaints
Hennion & Walsh Advisor John Dalby Involved in $5 Million Arbitration
RBC is Fined $2.6 Million for Options Reporting Violations
Oppenheimer Advisor Daniel Mittag Involved in $450,000 Investor Dispute
Oppenheimer Advisor Steve Baaden Has History of Investor Complaints
GPB Complaints Involving Peregrine Private Capital Settle for More than $1 Million
Christopher Passero Involved in Dispute Regarding GPB Capital Shares
Morgan Stanley’s David Wachsman Involved in $1.6 Million Investor Dispute
Investors File Arbitrations Over Chris Phillips’s Failed Oil Investments
Antoine Souma Barred by FINRA Following Investigation
Wells Fargo Advisor’s Bill Michetti Involved in Investor Dispute
1031 Exchange Disputes Involving Gregory Hill Settle for Over $350,000
Christopher Callagy Racks Up His Ninth BrokerCheck Disclosure
MML Investor Services Ordered to Pay Investors Restitution
Anesthesia Mistakes Lead to Malpractice Lawsuits
Former Woodbury Broker Chuck Riggenbach Involved in Investor Dispute
Investor Seeks Over $400,000 in Arbitration Involving John Gatto
$2 Settlement Reached in Case Involving Merrill Lynch Advisor Jason Tarver
Complaint Involving Former Aegis Broker Yann Faho Settles for $300,000
FINRA: GPB Automotive Complaint Involving Dennis Cirbo Settles
Triad Advisors Pays Fine and Restitution to Resolve FINRA Complaint
Wells Fargo Ordered to Pay Customer Restitution of Over $3.3 Million
Investor Claims Jim Bowdish Allowed a Life Insurance Policy to Lapse
Robert Yasnis Involved in Customer Arbitration before FINRA
Austin Page and Brandon Teague Indicted: Did You Lose Money Investing?
January 2022 GPB Capital Update: David Gentile Seeks Mediation
Emerson Equity Fined and Ordered to Pay Investors Restitution
Morgan Stanley’s Meridian Wealth Management Group Involved in $15 Million Options Complaint
Former Crown Capital Advisor Ben Herritage Involved in Non-Traded REIT Dispute
Investor Alleges Peter Viglione Excessively Traded Account
Jeffrey Dampf Accused of Stealing from Elderly Clients
How to Read and Understand a SEC Form 8-K as a Shareholder
Woodbury Financial Advisor Richard Allen Involved in Investor Dispute
Morgan Stanley Fined by State of New Hampshire
Investor Filed Complaint Involving Wells Fargo Advisor John Pasacreta Jr.
Tim Claypool Resigns from Northwestern Mutual Following Investigation Over Annuities
Lawsuits for Abuse and Negligence by Home Health Aides
Cetera Advisor Donna Hines Barred over Bitcoin Investments
Copper Financial Advisor Ron Yount Involved in $800,000 Dispute
Investor Files Arbitration Involving Rockwell Broker George Fill
Complex Options: Butterfly Spreads and Protective Collars
Investor Files Arbitration Over Dave Meacham’s Recommendation to Invest in Illiquid Alternatives
Efrain Trujillo Fired Over Customer Loan
JD Phillips: Complaints Involving Former Charlotte Broker Settled for $2.5 Million
Financial Advisor Mitchell Hirsch Involved in $1 Million Investor Dispute
Keith Ashley, KBKK and North Texas Money Management Implicated in Investment Scam
Mario Divita Suspended by FINRA
Former Cetera Advisor Investigated by FINRA over Theft Allegations
Investor Alleges Over $1 Million in Damages Over Chad Collins’s Misuse of Margin
Avantax Reaches Settlement with the SEC over Fee Complaint
NEXT Financial Fined by State of New Hampshire
Denny Bhakta Charged by SEC with Operating Ponzi Scheme
Janney Montgomery Scott Fires Frederick Browne
Merrill Lynch Fined $2 Million over Trading Violations
Ponzi Scheme Investigation: deeproot Funds and Robert Mueller
Owen Dudley Has Long History of Investor and Regulatory Disputes
Former Morgan Stanley Advisor Ebbert Jones Had History of Investor Disputes
Ten Largest Ponzi Schemes in History
Egerton Investment Partners Fined by Securities Regulator
FINRA: Thomas Biadas Has Multiple Disclosures
How Do Financial Advisors Charge Their Clients?
FINRA: Former Ray Jay Advisor Paul Zirakian Involved in Settled Complaints
FINRA: Bob Scrabis has History of Investor Complaints
Richard Kushnir Has a History of Sanctions and Investor Complaints
Concorde Investment Services Fined over Non-Traded REITs
Invista Advisors’ Dan Sloan Involved in Customer Settlements
McDonald Partners Advisor Rita Mansour, Accused of Defrauding Investors by SEC
Wells Fargo Fires Advisor Jerry Klein
Former Morgan Stanley Advisor Wendell Kucker Has Long History of Customer Disputes
Securities Regulators Alleged Jesse Webb Engaged in Dishonest Behavior – Dishonest or Unethical Conduct
Former Laidlaw Advisor John Busco Has History of Complaints with Customers
Did You Lose Money Investing with Cynthia Pulver?
LPL Financial Fined Over Advisor’s Fraud
IVF Negligence Lawsuits: Cost of Broken Dreams
SEC Accuses Heartland Group Ventures of Lying to Investors
Newman Ladd Capital Advisors Fined by the SEC
Matthew Mierzycki Fired by Edward Jones
Phoenix Senior Living DST Fined By Regulator
Sarah Komischke Involved in $500,000 Dispute Over Offshore Annuity Investment
Former Merrill Lynch Advisor Glen Turner Has History of Complaints
Shem Creek Capital Fund V Enters Consent Order
Pathway Advisors Group Sanctioned Over Risky ETF Trades
SPACs Create Unique Risks for Investors
Jeffrey Slothower Indicted for Defrauding Investors
FINRA: Complaint Involving Eli Moallem Settles for $275,000
M Financial Planning Enters Consent Agreement with Pennsylvania
Is Highlands REIT Liquidating InvenTrust’s Properties?
FINRA: Former Lincoln Financial Advisor Bill Eber Has Customer Complaints
SEC Charges Miami Adviser Lina Garcia Over Cherry-Picking Allegations
Berthel Fisher Severs Ties with Jack Outhier
Are Syndicated Conservation Easements Worth the Risk?
LPL Financial Fined Following AML Complaint
Artemis Vega Fund LP Fined by Securities Regulator
FINRA: Steven Caputo Has Customer Complaints
Former Stifel Advisor Larry Delhagen Involved in Multiple Customer Settlements
Complaint Involving Royal Alliance Advisor Mark Young Alleges $4 Million Losses
Ronald Molo Refuses to Cooperate in Investigation Over Stolen Funds
AEI Net Lease Portfolio XIII DST Fined By New Hampshire
LaTour Asset Management and Barbara Burns Fined by Missouri Regulator
Hayk Papoyan is Under Investigation by FINRA After Being Fired
Joseph Lianzo Suspended by FINRA Over Excessive Fees
Regal Investment Advisors Fined by SEC Over Durand Capital Partners
Investor Alleges Ausdal Advisor Made Unsuitable Recommendations
Upright Financial Corp. Settles SEC Complaint Over Mutual Fund
California Revokes Jeff Borneman’s Investment Adviser License
Equitable Advisors Involved in Investor Suitability Complaint
IAMS Wealth Fires Advisor Michael Todd Over Compensation Arrangements
Synergist Wealth Advisors Enters Consent Order Over Advisory Fees
Royal Alliance Reps Embroiled in $250,000 Investor Complaint
Complaint Filed Against Buttonwood Financial Group Over Fund Fees
Equitable Advisors Rep Indicted on Fraud Charges, Barred by FINRA
Roof Douglass Recommended Unsuitable Investments
More Complaints Involving Sigma Rep Matthew McDonald Filed with FINRA
Did Your Trustee Breach Their Fiduciary Duty?
Former RBC Advisor Bruce Cameron’s Massachusetts Complaint
Morgan Stanley Advisor John Rochester Involved in $600,000 Investor Dispute
Jerome Messana Involved in Customer Complaints and Regulatory Issues
Michael Barranco Involved in $3.2 Million Investor Complaint
Joseph McErlean Resigns from Janney Montgomery Following Allegations of Misconduct
Morgan Stanley Advisor James Frank Involved in FINRA Case
Primerica Investor files FINRA Complaint Involving Kevin Hobbs
Northstar Investor Files Complaint Involving Truist’s Advisor Steve Berrocal
Andrew LeBlanc Enters AWC with FINRA
What Is the SEC Form ADV and Why Must Investors Know About It?
Understanding Complex Options Strategies and Spreads
George Perros Enters Consent Order with Kentucky
Geneos Advisor Involved in $1 Million Investor Complaint
Carl Antaki Sanctioned by FINRA Over Unsuitable Trades
Kentucy Enters Order with Bruce Hanks over REIT Sales
Michael Ecker Involved in Investor Complaint over GPB Auto
David Khezri Under FINRA Investigation Over Excessive Trades
Spectrum Capital’s Scott Kemps Involved in GPB Dispute
Merrill Lynch Advisor Mark Carlson Involved in Another Customer Dispute
Westlake Financial Enters Consent Order with Kentucky
Former DC Solar Owner Sentenced over $1 Billion Ponzi Scheme
UBS Broker Involved in $500,000 Customer Arbitration
Former SunTrust Advisor Involved in Complaint over Northstar Financial
Complaints Continue for South Carolina Cadaret Grant Advisor
Tashari Financial Group Enters Order With Kentucky
Does FINRA’s BrokerCheck Protect Investors from Bad Financial Advisors?
Morgan Stanley Rep Adam Stowell Involved in $1 Million Customer Dispute
Edward Jones Financial Advisor Ronald Molo Indicted By The Feds
Vamsi Atreya Losses Investment Advisor License in DC
Multiple States File Complaints Related to GPB Capital Ponzi Scheme
Virginia Reaches Settlement with Strategic Wealth Partners
Thomas Niles Enters AWC with FINRA
Alpha Plus and Other Accused of $40 Million Fraud
Bright Light Advisors Enters Consent Order with California
Black Hill Capital Partners Enters Consent Order Over Voyager Fund
UCB Financial and Lina Maria Garcia Charged In Cherry Picking Scheme
New Arbitration Filed Against Oppenheimer Advisor Scott Turcott
Joshua Burrell Indicted in “Opportunity Zone” Ponzi Scheme
Ameriprise Rep. Michael Clark Fined By NH Insurance Department
Merrill Lynch Fined Over MSRB Rule Violations
Grace Guo Involved in Two Customer Arbitrations
Ron Whittingham Suspended Over Annuity Applications
Investigation: Hamilton Investment Counsel Advisor Scott Bremus
Glenn Brandon Jr. Barred by FINRA
Avoid Being a Victim of Promissory Note Fraud
Southport Capital Charged with Running a $110 Million Ponzi Scheme
RBC Pays Fine to Settle Charges Related to Muni Bond Offerings
Investor Arbitration Involving Alberto Valdes Seeks $500,000 in Damages
Investor Files Complaint Involving NI Advisors Peter Po
SEC Charges TCFG Investment Advisors with Making False Statements to Investors
Investor Files Suitability Complaint Against Kalos Broker Ron Russell
Patrick Beresh Enters Consent Order over Preferential Trading
LPL Financial Fined $6.5 Million By FINRA
WealthBridge Advisor David Chang Investigated in Hawaii
Peter Cunningham Enters Consent Order over UIT Sales
SEC Files Complaint Against RAM Fund and Carter Bain Wealth
Western International Rep Peter Steege Involved in Multiple Customer Disputes
Did You Lose Money in NYC REIT?
ABCs of Trade Execution
Bill Barnett Enters Consent Order With Arkansas
Former Woodbury Rep Chuck Riggenbach Involved in Customer Dispute
Merrill Lynch Fined by FINRA for Reg SHO Violations
Tony Kassaei Barred by FINRA Over Real Estate Deals
Dave Bibo Involved in Seven Figure Investor Dispute
Equitable Advisors Fined By FINRA Over Customer Settlement Agreements
Aegis Capital Corp. Pays $2.8 Million to FINRA Over Excessive Trading Complaint
Concorde Rep Daniel Raupp Besieged by Customer Complaints
UBS Settles Complaint over Arizona Advisor Rick Whalen’s Recommendations
Plano Financial Advisor Jason Jaynes Involved in $18 Million Investment Dispute
Investor Files Complaint over LPL rep James Frawley’s Option Trades
US Oil Fund Agrees to Pay $2.5 Million Over SEC Disclosures
SEC Reaches Settlement with Lefavi Wealth Management Over Private Placement Conflicts
Understanding Private Placement Investments
Maxim Beliakov Suspended by FINRA
FINRA Announces Investigation Into Austin Dutton
Investor Files $1 Million Complaint Involving Daniel Loy of Independent Financial Group
Integrity Brokerage Services CEO Barred by FINRA
Ex-LPL Broker Kevin McCallum Suspended by FINRA
Ponzi Scheme Prevention & Awareness Tips for NY Investors
Goldman Sachs Fires Advisor Robert Wolfe Over Customer Complaints
Oklahoma Regulators Censured Robert Franden Over Discretionary Trading
FINRA Bars Ex-Woodstock Broker William Friedman
Two Six Figure Complaints Involving Rep James Ciocia Filed With FINRA
Customer Complaints Pile up for Money Concepts Rep Ray Reese
Colorado Based LPL Rep Kim Kennedy Involved in Two Pending Arbitrations
Chip Dover: Florida Based Broker Has History of Six Figure Complaints
Customers File Arbitration Involving Michael Ecker’s Recommendation of GPB Capital
Jurisdiction of the New York State Supreme Court Commercial Division
What to Do if Your Broker Ignores Your Stop Loss Order
Royal Alliance Associates History of Customer Complaints
Wisconsin Financial Advisor Michael Shillin Indicted by the Feds
LPL Financial Investor Complaint Information
Former Voya Rep David Monckton Involved in Three Pending Disputes
GPB Ponzi Scheme: Special Investigation Update
Forta Financial Group Faces Millions in Damages over Colorado Rep Greg Williams
Evergreen Financial Group Rep Jonathan Pyne Involved in Investor Dispute
Randy Birkinbine: Investor Alleges Over-Concentration in Illiquid Securities
West Orange Ameriprise Rep Gary Ginsberg Involved in Third Customer Settlement
Major Differences Between Warrants and Options: Know the Risks vs. Rewards
FINRA: Complaint Involving Thomas Swan Settles for $110,000
Jorge Sonville Fired After $4 Million Arbitration is Filed
Richard Crabtree Involved in $5 Million Dispute
TCA Fund Management, Bob Press and Others Charged by SEC
Paul Spero Fined and Suspended by FINRA
Woodbury Financial Investor Files Complaint Over Alternative Investments
What to Do If Your Financial Advisor Screws Up
Advisory Group Client Seeks $1 Million Over Alternative Investments
Rob Luley Involved in Madison Avenue GPB Settlements
Nelson Partners Skyloft Investors Scramble to Recover $74 Million
Challenging Bad Faith Life Insurance Claim Denials
ABCs of Options: What Novice Investors Should Know
Investor’s Dispute with Merrill Lynch Settles for $2.1 Million
Ameriprise’s Sam Head Involved in Customer Arbitration
Arbitration Involving Merrill Lynch Rep Tom Moore Settles
Transamerican Advisor, Feng Luo, Involved in $400,000 Dispute
Dennis Karjanis Involved in Multiple Investor Disputes
Investors: Bryon Martinsen’s Recommendations Caused Millions in Losses
Blue Ocean Wealth Solution’s Advisor Eric Tom Faces Investor Complaints
Investors Accuse Al Czerinewski of Recommending Unsuitable Alternative Investments
Former Morgan Stanley Rep Darryl Cohen Arrested
Investor Settles Case Related to Mark Pearcy’s VUL Recommendation
Are LLCs Considered “Securities” under SEC v. W.J. Howey?
Pending Complaints Against Cetera Broker Alexander Arango
FINRA Sanctions Transamerica $8.8 Million over Variable Annuities and Mutual Funds
FINRA Sanctions Metlife $25 Million For Variable Annuity Replacement Sales Complaints
1035 Exchanges: Should You Switch Variable Annuities?
Lilia Niyazova: Seacrest Wealth Management Investor Files $12 Million Complaint
Marc Korsch: More than $1.5 Million in Losses Alleged Against Ex-Centaurus Rep
Donald Fowler: $1.2 Million Complaint Against Barred Ex-Worden Broker
Chad Barancyk: Customers File Arbitrations for REIT Losses
Broker Ronald Daley Barred by FINRA Following Theft Allegation
FINRA Bars SW Financial Broker Joseph Lianzo Over Suitability Allegations
Franz Lembert: Churning Complaints Against NYC Broker
401(k) Rollovers: How to Move Your Retirement Account without Getting Burned
Investor Complaints Continue to Mount for Rodrigue Lors
REIT Complaints Persist Against Ex-Summit Broker Richard Brown
Customer Complaints Mount Against Michael Fasciglione
Lanny Howarter: REIT Complaint Against Crown Capital Broker
David Geake Embroiled in Multiple Investor Disputes
Narith Long: Investor Complaints Against Ex-NYLife Broker
Buying and Selling Options without Getting Burned
Edgar Kleydman: Ex-AXA and MML Broker Barred by FINRA
Philip Incorvia’s Death Exposes Long Island Ponzi Scheme
Kenn Welsh, Wells Fargo Rep, Arrested by the Feds in New Jersey
The Uniform Securities Act: Securities Attorney Primer
Rick Caiazzo: New Complaint Filed Against Former NJ Morgan Stanley Advisor
Seven Things Everyone Should Know About Annuities
Joseph Michaletz: Customer Complaints Over GPB Sales
Chad White: Ex-Barrett & Company Broker Under Investigation
Ed Turley: Fired By Chase After Multi-Million Dollar Complaint
Todd Kling: FINRA Investigates NYC Joseph Stone Broker
Michael Wagner: $5 Million Pending Complaint Against Morgan Stanley Broker
Joseph Stone’s Lenny Yurovsky Under FINRA Investigation
Jeremy Fortner Fired By Wells Fargo Over Loans
Debbie Herrmann: FINRA Bars Illinois Broker Over Promissory Note Investigation
Jay Jaroensabphayanont Barred Over Fraud Allegations
James Dunn: Ameriprise Broker Has $1 Million Complaint Over Foreign Investments
Eric Hollifield: $1.2 Million Theft Complaint Involving Ex-LPL Broker
Pro Bono Is not the Same as Contingency
Understanding Annuity Death Benefits
How to File a FINRA Complaint: A Guide For Burned Investor
Mutual Funds: Fees, Share Classes and Abusive Practices
Are Annuities a Safe Place to Invest Your Money?
Civil Damages for Securities Fraud Claims
Are You Qualified as an Accredited Investor?
Free Resources for Victims of Securities Fraud
Horizon Private Equity: The Case for Individual FINRA Arbitrations
Don’t Get Short Circuited By a Trading Halts
Robinhood’s Historic $70 Million Fine: What Investors Need to Know
An Investor’s Guide to Wash Sale Rules and Tax Loss Harvesting
ABCs of ACATs: Brokerage Account Transfers
Legal Damages Available to Victims of Elder Abuse
Board Members Have a Fiduciary Duty to Avoid Conflicts of Interests
Choice of Law Provisions: No Escaping the Plain Meaning of the Contract
What Investors Need to Know About SEC Receivers
Dangers of OTC, Pink Sheet and Microcap Stocks
Overview of Municipal Bond Underwriter Liability
Warning Signs of Securities Fraud
Does SIPC Insurance Cover Securities Fraud?
How To Remove A Restrictive Legend From A Stock?
Prices and Time: Duty of Best Execution
Asset Allocation Negligence: Did Your Financial Advisor Put All Your Eggs in One Basket
What to Do If Your Online Brokerage Account Is Hacked

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