:
Updated:
Wells Fargo Advisors Fined $225,000 and Censured by FINRA
:
Updated:
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fined $150,00 by FINRA
:
Updated:
Jorge A. Reyes fined $4 Million and Banned by FINRA
:
Updated:
Wilson-Davis & Co., Inc., Byron Bert Barkley and James C. Snow Jr. Fined $1.1 Million by FINRA
:
Updated:
FINRA Fined Samuel Lek $900,000 and Permanently Barred
:
Updated:
Nomura Securities International, Inc. Fined $300,000 and Censured by FINRA
:
Updated:
Coronavirus Negligence by Stockbrokers
:
Updated:
FINRA Suspends Brian J. Hussey Jr. for Seven Months
:
Updated:
FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities
:
Updated:
FINRA Fines and Suspends VanLandingham
:
Updated:
FINRA Fines and Suspends Lowe for Nine Months
:
Updated:
Bernard McGee Barred and Order to Pay Restitution
:
Updated:
Daniel N. Winger Barred by FINRA
:
Updated:
Brian Stephan Named Respondent in FINRA Complaint
:
Updated:
FINRA Complaint Filed Against John W. Cutshall
:
Updated:
McCoy Fined and Barred by FINRA
:
Updated:
Preston Suspended by FINRA
:
Updated:
Harold Connell of CP Capital Securities Barred and Expelled by FINRA
:
Updated:
Allan Suspended by FINRA and order to pay Disgorgement
:
Updated:
Swingle Fined & Suspended for Borrowing Money from Clients for Gambling Debt
:
Updated:
Anastos Suspended for Four Months
:
Updated:
Richard Foster Fined and Suspended for Six Months
:
Updated:
Parker Fined & Suspended by FINRA
:
Updated:
Eckstein Named as Respondent in FINRA Complaint
:
Updated:
Craig E. Walker Barred by FINRA
:
Updated:
Kaplan Barred for Churning and Unsuitable Excessive Trading by FINRA
:
Updated:
Meier Barred by FINRA
:
Updated:
LaMarre Fined and Suspended for Unsuitable Recommendations
:
Updated:
Degner Fined and Suspended by FINRA
:
Updated:
Lawrence J. Fawcett Jr. Fined and Suspended by FINRA
:
Updated:
Moscoso Barred by FINRA
:
Updated:
US Court of Appeals Upholds SEC Decision to Barr Talman A. Harris
:
Updated:
Larry Boggs Barred by FINRA
:
Updated:
OHO Issues Decision regarding David O. Braeger
:
Updated:
FINRA Fines and Suspends Jeffrey Kinder for 15 Months
:
Updated:
FINRA Fines and Suspends Shotz
:
Updated:
FINRA Fines and Suspends Michael N. Guifoyle for 10 months.
:
Updated:
Herauf Terminated from Edward Jones due to FINRA Allegations
:
Updated:
FINRA Suspends and Fines Brenton L. Bataille
:
Updated:
Hank M. Werner Suspended, Fined, and Ordered to Pay Restitution
:
Updated:
Summit Brokerage Services, Inc. Censured
:
Updated:
FINRA Fines and Suspends Marlon Cole for 16 Months.
:
Updated:
Timothy T. Gibbons Fined, Suspended and Order to Pay Restitution by FINRA
:
Updated:
Oromaner, Suspended, Fined and Order to Pay Restitution by FINRA
:
Updated:
Sica Required by FINRA to Attend Continuing Education
:
Updated:
Lawing Suspended for Disclosing Nonpublic Client Information
:
Updated:
FINRA Complaint Filed Against Bruce Martin Zipper
:
Updated:
Walter Marino Suspended for One Year
:
Updated:
Steven Meyer Barred by FINRA
:
Updated:
Cotter Suspended and Fined by FINRA
:
Updated:
Southwick Suspended from FINRA
:
Updated:
FINRA Suspends Perry for 18 months
:
Updated:
Jackson Barred from FINRA
:
Updated:
Craig Scott Capital Expelled
:
Updated:
Esteva Barred from FINRA
:
Updated:
Complaint filed against Meyers Associates and Two of it’s Brokers
:
Updated:
Fleming Suspended by FINRA for Four Months
:
Updated:
Lomedico Supended & Fined by FINRA
:
Updated:
FINRA Suspends LaCerte
:
Updated:
Taboada, NAC Decision Appealed to SEC
:
Updated:
NAC Barred David Joseph Excarcega from FINRA
:
Updated:
Kimberlin Suspended from FINRA for 18 Months
:
Updated:
Jay Jordan Barred from FINRA
:
Updated:
Complaint Filed with FINRA Against Marino
:
Updated:
FINRA Fined and Suspended Donald Bergeron for 15 Days
:
Updated:
Serth Suspended for Three Months by FINRA
:
Updated:
FINRA Complaint Filed Against Lawrence for Unapproved Loan from Customer
:
Updated:
Likens, Suspended and Fined for Unapproved Loans from Customers
:
Updated:
Hushek Suspended and Fined by FINRA
:
Updated:
Carolina Financial Securities, LLC Fined and Bruce Roberts Sanctioned
:
Updated:
Geraldine Gordon Suspended for 10 days by FINRA
:
Updated:
Larry Wolfe Fined and Suspended by FINRA
:
Updated:
FINRA Censures and Fines Trustfirst Inc.
:
Updated:
FINRA Decision Regarding Legend Securities, FINAL
:
Updated:
Oppenheimer & Co. Inc. Censured & Fined by FINRA
:
Updated:
FINRA Suspends James Flower for Three Months (Requires Continuing Education)
:
Updated:
Hickman, Fined, Suspended and Ordered to Pay Restitution by FINRA
:
Updated:
Wells Fargo Securities, LLC Fined 3.2 Million Dollars
:
Updated:
FINRA Suspends Landa for Two Months
:
Updated:
An Offer of Settlement issued for James Davis Trent
:
Updated:
MSI Financial Service, INC Censured and Required to Provide Remediation Plan
:
Updated:
Burris Suspended by FINRA for Five Business Days
:
Updated:
Bullock Censured and Fined by FINRA
:
Updated:
Cetera Advisors LLC Sanctioned by FINRA
:
Updated:
FINRA Fines and Suspends Jeffrey Davis for One Month
:
Updated:
Spencer Edwards, Inc. Suspended and Fined by FINRA
:
Updated:
Cagle Fined and Suspended for Two Months by FINRA
:
Updated:
Scott Sibley Barred from FINRA
:
Updated:
FSC Securities Corporation censured and Fined by FINRA
:
Updated:
Todurge Barred by FINRA
:
Updated:
Enrique Mercado Jr. Submits Offer of Settlement to FINRA
:
Updated:
Legend Equities Corporation Sanctioned by FINRA
:
Updated:
Jimenez Fined and Suspended by FINRA for Engaging in Securities Activities without being Registered
:
Updated:
FINRA Suspends Harold Stephen Pomeranz for Three Months
:
Updated:
Derek Wayne Border Suspended for Three Months
:
Updated:
Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d)
:
Updated:
Mark Schklar Fined and Suspended for Eight Months by FINRA
:
Updated:
Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h)
:
Updated:
Cecil Ernest Nivens named in FINRA Complaint
:
Updated:
Ultralat Capital Markets, Inc. Censured and Fined by FINRA
:
Updated:
Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d)
:
Updated:
Jarred Lawson Suspended by FINRA for One Year
:
Updated:
FINRA Censures Santander Securities LLC and Orders them to Pay Fined and Restitution
:
Updated:
FINRA Complaint filed against Legend Securities, Inc.
:
Updated:
FINRA Barred Jaoshiang Luo (CRD #2143876, Flushing, New York)
:
Updated:
J. Michael Casas Barred from FINRA
:
Updated:
Maczko Barred from FINRA for Taking Advantage of Elderly Customers
:
Updated:
Adam Fritzsche Suspended by FINRA for one Year
:
Updated:
Kelly Clayton Althar submitted an Offer of Settlement, and Barred by FINRA.
:
Updated:
Edward D. Jones & Co., L.P. sanctioned for overcharging interest on margin loans totaling approximately $708,000
:
Updated:
Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h) February 2017
:
Updated:
James Rose, Suspended for Six Months for Engaging in Business Activities without Disclosure or Approval.
:
Updated:
Statim Holdings Inc., has guaranteed investors its main hedge fund won’t lose money.
:
Updated:
Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h) February 2017
:
Updated:
Alejandro Falla (Miami, Florida) Barred from acting as Broker and Associating with any FINRA member in any capacity. (FINRA Case #2013035313902)
:
Updated:
Securities-based Loans (SBLs): What are they and what is the risk
:
Updated:
FINRA Expelled Fox Financial Management Corporation and Suspends Chief Compliance Officer Brian Andrew Murphy & President James Edward Rooney Jr. (FINRA Case #2012030724101)
:
Updated:
Legendary Sports Gambler Billy Walters Convicted of Insider Trading
:
Updated:
New Sanction Guidelines for NAC
:
Updated:
Investor Alert issued by FINRA regarding Binary Options Follow-up Schemes
:
Updated:
Will Allen (Former Dolphins, Giants, and Patriots NFL Player) was Charged with 23 Federal Felonies in Alleged Ponzi Scheme
:
Updated:
FINRA bars North Carolina Broker/Dealer for False Testimony, and Fabricated Documents
:
Updated:
Morgan Stanley pays penalty after allegations of inverse ETF investments
:
Updated:
Large FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Funds
:
Updated:
FINRA Questioning Brokerage Firm “Culture”
:
Updated:
LPL Financial Fraught with Allegations of Supervisory Failures
:
Updated:
Total Wealth Management Sanctions Kickbacks
:
Updated:
U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charges
:
Updated:
Judge Orders Attorney to Pay Nearly $4 Million in Prime Bank Investment Scheme
:
Updated:
Florida Transfer Agent Charged by SEC with Defrauding Investors
:
Updated:
Goldman Sachs Group, Inc. to Face Judge in September
:
Updated:
Oppenheimer Advisor Targets Elderly Widow
:
Updated:
Barred Investment Advisor Swindles Clients for Nearly $9 Million
:
Updated:
UBS Continues to Face Controversy over Puerto Rico Muni Bonds
:
Updated:
Rafferty Capital Markets Enables Unregistered Firm to Engage in Illegal Trades
:
Updated:
Private Fund Manager Charged by SEC for Theft of Investor Funds
:
Updated:
FINRA Castigates Prodigious Morgan Stanley Smith Barney for Supervisory Failures
:
Updated:
Feds, SEC Tag Qualcomm Managers for Insider Trading
:
Updated:
Barred Stock Broker Dupes Investors in Florida Real Estate Deal
:
Updated:
SEC Landmark Non-prosecution Deal in Insider Trading Racket
:
Updated:
Widespread “Expert Networks” Investigation by SEC Snags Dozens for Insider Trading
:
Updated:
SEC and Homeland Security Squash TelexFree Pyramid Scheme
:
Updated:
Transamerica Financial Advisors Breakpoint Discounts? Nor for Everyone
:
Updated:
Defunct Direct Access Partners Scuttled by Shady Practices
:
Updated:
IT Giant Hewlett-Packard Charged with FCPA Violations
:
Updated:
FINRA Fines LPL Financial Nearly $1,000,000 for Supervisory Short-Falls
:
Updated:
Florida-based YouTube Ponzi Scam Draws Attention of SEC, Criminal Authorities
:
Updated:
Bitcoin Continues to be of Concern to Regulatory Authorities
:
Updated:
Two Guys Walked into a Bar: Investment Broker, Law Clerk, and “Middleman” Bilk $5.6 Million Through Insider Trading
:
Updated:
Puerto Rico Municipal Bonds: Not Just Another Muni
:
Updated:
UBS Puerto Rico, Executives Shill Investors
:
Updated:
International Pyramid Scheme Gouges Investors Through Use of Social Media
:
Updated:
Berthel Fisher and Affiliate, Securities Management & Research, Fined $775,000
:
Updated:
Global Conglomerate, Credit Suisse Group AG, Fined for SEC Violations
:
Updated:
AML Violations Lead to Historic Penalty for Brown Brothers Harriman
:
Updated:
SEC Takes Action to Minimize Microcap Fraud: Targets Hundreds of Shell Companies
:
Updated:
Know Your Stock Attorney
:
Updated:
Legg Mason Affiliate Charged with Defrauding Clients
:
Updated:
SEC’s Risk Alert Regarding Alternative Investments Due Diligence
:
Updated:
KPMG Violates Directives Regarding Auditor Independence
:
Updated:
What is Breach of Fiduciary Duty?
:
Updated:
Wife of Florida Ponzi scammer sent to prison for 18 months
:
Updated:
FINRA Investor Alert
:
Updated:
Lost Money in Puerto Rico Bonds or Bonds Funds?
:
Updated:
UBS facing Millions of Dollars in Claims
:
Updated:
Blum Law Group Investigates David Lerner Associates, Inc.
:
Updated:
Blum Law Group Investigates JW Korth & Company
:
Updated:
Peregrine CEO pleads Not Guilty even After he admits to wrongdoing in a note
:
Updated:
Blum Law Group Investigates Liberty Trading Group and Peregrine Financial Group
:
Updated:
February 2012 FINRA Florida Disciplinary Actions
:
Updated:
January 2012 FINRA Florida Disciplinary Actions
:
Updated:
FINRA Issued Investor Alert on Public Non-Traded REITs
:
Updated:
Blum Law Group Files Securities Class Action Against Regions Bank Alleging Regions Aided and Abetted the Sale of Securities by an Unregistered Dealer
:
Updated:
FINRA Fined Raymond James for Charging Unfair Commissions and Ordered Restitution
:
Updated:
Blum Law Group Files Claims on Behalf of McGinn Smith Investors Against National Financial Services, LLC
:
Updated:
Lehman Investor Alert: Continued Findings that UBS Misled Lehman Structured Notes Investors
:
Updated:
FINRA Fines Pointe Capital, Inc. (n/k/a JHS Capital Advisors, Inc.) for Excessive Commissions
:
Updated:
Recovering Investment Losses in Desert Capital REIT
:
Updated:
Blum Law Group Announces its Investigation of the Laeroc Funds
:
Updated:
Investors in Lehman Structured Notes Awarded the Return of the Their Entire Investment from Neuberger Berman
:
Updated:
Broker-Dealers Charging Excessive “Postage and Handling” Fees
:
Updated:
FINRA Accuses Apple REITs/David Lerner Associates of Fraud
:
Updated:
SEC Implements Whistleblower Award Program
:
Updated:
FTC Shuts Down American Precious Metals, LLC, a Precious Metals Boiler Room Based out of Deerfield Beach, Florida that Preyed on Seniors
:
Updated:
SEC Charges Subprime Auto Loan Lender and Executives With Fraud
:
Updated:
FINRA Sanctions UBS Nearly $11 Million for Down Playing Risks Associated with Lehman Principal Protected Notes Sold to its Customers
:
Updated:
SEC Shuts Down Multiple Chinese Companies Listed on U.S. Stock Exchanges and Investigates their Practices
:
Updated:
Lehman Bankruptcy Trustee Sued Citibank for $1.3 Billion
:
Updated:
Investors Recoup Madoff Losses through FINRA Arbitration
:
Updated:
Regulators Continue Efforts to Rein in New Ponzi Schemes
:
Updated:
Sean Premock & Premock Financial: Sale of Fraudulent Investment Products
:
Updated:
Another Victory for Investors Who Purchased Lehman Brothers Structured Notes
:
Updated:
Former Television Star Pleads Guilty to Securities Fraud
:
Updated:
South Florida brokerage firm targeted in $5 million lawsuit filed by Rothstein trustee
:
Updated:
Investors Continue to Recover from UBS over Lehman Notes in FINRA Arbitration
:
Updated:
Brewer Investment Group Promissory Note Fraud
:
Updated:
The Lehman Bankruptcy – Everyone is Getting Paid But the Victims
:
Updated:
Banyon Investors Unlikely to Recover Significant Money from Scott Rothstein Restitution Fund or from the Receivership
:
Updated:
New Law Provides Financial Incentives and Increased Protection for Securities Fraud Whistleblowers
:
Updated:
Montana Regulator Sues Securities America over Medical Capital
:
Updated:
Blum & Silver Representing Investors in ProShares and other Exchange Traded Funds (ETFs)
:
Updated:
Scott L. Silver, Esq. Selected for Florida Trend’s 2010 Florida Legal Elite
:
Updated:
SEC Looking at the Sale of Principal Protected Notes
:
Updated:
SEC Brings Securities Fraud Action against Goldman Sachs in Connection With the Creation and Sale of Subprime CDOs
:
Updated:
Broker and Investment Author Bambi Holzer Facing Complaints for the Sale of Provident Shale Royalties Ponzi Scheme
:
Updated:
FINRA Expels Provident Asset Management and is Investigating Other Provident Selling Broker-Dealers
:
Updated:
FINRA Fines H&R Block Financial Advisors for Inadequate Supervision of Reverse Convertible Notes Sales and Issues Guidelines for the Sale of These Products
:
Updated:
Blum Law Group Investigates Michael DiMare Losses Against ING and Signator Investors
:
Updated:
Medical Capital Investor Alert: Massachusetts Securities Regulators Have Sued Securities America, Inc. for Securities Fraud
:
Updated:
Medical Capital Investors Still Owed $1.7 Billion
:
Updated:
Increased FINRA Arbitration in 2009
:
Updated:
2009: “The Year of the Ponzi Scheme”
:
Updated:
FINRA Expresses Concern about Principal Protected Notes
:
Updated:
Scott Silver of Blum Law Group Wins Most Effective Securities Lawyer Award
:
Updated:
Investor Wins Arbitration Award Against UBS Over Lehman PPN
:
Updated:
Broker-Dealers Negligent in Their Due Diligence
:
Updated:
Securities America May Have Suspected Problems with Medical Capital Notes
:
Updated:
Stockbroker ordered to pay $7 million securities arbitration judgment
:
Updated:
OUR LAW FIRMS INVESTIGATION INTO MEDICAL CAPITAL LOSSES CONTINUE
:
Updated:
Blum Law Group to represent investors for losses in Medical Capital
:
Updated:
SEC OBTAINS ASSET FREEZE IN $485 MILLION NATIONWIDE OFFERING FRAUD BY PROVIDENT ROYALTIES, LLC
:
Updated:
SEC Hits Morgan Keegan With Wells Notice
:
Updated:
BLUM & SILVER CONTINUES TO FILE ARBITRATION CLAIMS AGAINST UBS FOR THE SALE OF LEHMAN PRINCIPAL PROTECTED NOTES
:
Updated:
Blum Law Group Files FINRA Arbitration Against Deutsche Bank Securities for Sale of the Aravali Fund
:
Updated:
SEC lawsuit targets Aura
:
Updated:
NEW HAMPSHIRE REGULATORS CLAIM UBS MISLED INVESTORS ABOUT LEHMAN PRINCIPAL PROTECTED NOTES
:
Updated:
Lehman Good-for-Retirement Notes Worth Pennies for UBS Clients
:
Updated:
BofA Sues Bear Stearns For Hedge Fund Blow Up
:
Updated:
NOTICE TO ALL UBS CLIENTS WHO PURCHASED LEHMAN STRUCTURED NOTES AND LEHMAN PREFERRED SHARES
:
Updated:
Blum Law Group obtains a FINRA arbitration award against CIBC World Markets Corp., Jeff Bank, and Arthur Lewis
:
Updated:
FINRA ARBITRATION PANEL AWARDS Blum Law Group CLIENT LARGE PUNITIVE DAMAGE AWARD AGAINST STOCKBROKER GARY GROSS
:
Updated:
Welcome to the Stockattorneys blog of Blum Law Group
Stock Attorneys Blog