Dec 2nd, 2015

Massive Ponzi Scheme And Life Settlement Scam By James Torchia of Credit Nation Raises Investment Fraud To A Whole New Level In Canton, Georgia

According to a complaint recently filed by the Securities & Exchange Commission (SEC) in the U.S. District Court for the Northern District of Georgia, tens of […]
Nov 27th, 2015

Integrated Trading And Investments Financial Advisor Wayne Thaler Overcharged Clients in Metter, Georgia

A Georgia financial advisor, Wayne Thaler, has been barred from the brokerage industry for three months for charging inflated commissions on the sale of penny stocks. […]
Nov 27th, 2015

OneAmerica Financial Advisor Brantly Chavis Jr. Steals At Least $25,000 From Customer In Aliso Viejo

A OneAmerica broker in Aliso Viejo, California, has been permanently barred from the brokerage industry for conduct that can only be described as shocking. While working […]
Nov 25th, 2015

Edward Jones Financial Advisor Bernard Parker Faces Criminal Charges For Operating Ponzi Scheme in Indiana, Pennsylvania

Bernard Parker stole investor money to remodel his house, but now it looks like he will be living in a federal penitentiary. According to the Securities […]
Nov 25th, 2015

Allstate Financial Advisor Kenneth Brownlee Implicated in Ponzi Scheme in Buford, Georgia

Mr. Brownlee has been barred from the brokerage business after getting his clients into a Ponzi scheme, according to a hearing panel decision recently issued by […]
Nov 20th, 2015

Head of Enviso Capital Ryan Bowers Fined and Suspended By FINRA For Withholding Information From Investors In San Diego.

Ryan Neel Bowers of Enviso Capital has been fined $25,000 and suspended from the brokerage industry for five months for failure to make important disclosures to […]
Nov 20th, 2015

James (“Jim”) Belenis of KMS Financial Fined and Suspended For Improper Sales of Gold Mining Company in Davis California

James D. (“Jim”) Belenis of KMS Financial in Davis, California went off the reservation and ended up in a gold mine. Mr. Belenis broke FINRA rules. […]
Nov 16th, 2015

Newport Coast Securities Fined For Failing Catch Theft By Financial Advisor Gregory Allen Baldwin

The Financial Industry Regulatory Authority (FINRA) recently censured and fined Newport Coast Securities for lax supervision of its financial advisors. What one financial advisor, Greg Baldwin, […]
Nov 13th, 2015

FINRA Bans Derek Lee Miller of Securities America From Securities Industry

Derek Miller of Redondo Beach, California has been kicked out of the brokerage industry by the Financial Industry Regulatory Authority (FINRA). FINRA regulates financial advisors and […]
Nov 12th, 2015

Philip Dunwoody Cox of Bluestone Wealth Planning Suspended for Creating False Financial Records

The Financial Industry Regulatory Authority (FINRA) recently suspended Mr. Cox from associating with any broker-dealer for three months due to his conduct at Sterne Agee. According […]