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Jul 7th, 2017
After a long, checkered career, Clay Hoffman has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). According to FINRA, Mr. Hoffman […]
Jul 6th, 2017
The Financial Industry Regulatory Authority (FINRA) has really thrown the book at David Elgart of Sequoia Investments for “willfully failing” to disclose over $400,000 in tax […]
Jul 6th, 2017
It’s really pretty simple. There are two types of investment accounts, accounts where the advisor has to ask permission before placing trades (non-discretionary) and accounts where […]
Jul 5th, 2017
Following on the heels of a 2016 settlement with the SEC for “willful” violations of the Investment Advisers Act for overcharging clients, FSC Securities recently received […]
Jul 4th, 2017
Wilson-Davis is in trouble again with the Financial Industry Regulatory Authority (FINRA). According to FINRA, Wilson-Davis, which is based in Salt Lake City but also has […]
Mar 12th, 2017
Most financial advisors claim that they put their investors’ interests first but, all too often, customers are a distant second place to an advisor’s own interests. […]
Feb 11th, 2017
Investors who invested in 1031 exchanges through Tracy Turner and Turner Financial Group of Carlsbad, California may be regretting that decision. According to a complaint filed […]
Feb 10th, 2017
If you bought mutual funds from H.D. Vest or MassMutual’s brokerage arm, MML Investor Services, you may have been overcharged. The Financial Industry Regulatory Authority (FINRA) […]
Feb 10th, 2017
Clients of First Southern Securities of Alpharetta, Georgia may have paid too much for their municipal bonds, or get paid too little if they ever sell […]
Feb 9th, 2017
The Financial Industry Regulatory Authority (FINRA) censured and fined Dougherty & Company after one of its “top producers” allegedly ripped off elderly investors by executing hundreds […]