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 […]
Mr. Michael Lincoln is probably regretting his decision to avoid reporting the outside business activity (OBA) of a financial advisor he was supposed to be supervising, […]
In La Mesa, California, financial advisor J. Randall Gladden has been suspended from the brokerage business for a full year due to his involvement in the […]
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 […]
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. […]
The Securities & Exchange Commission has filed charges against Lee Weiss for what is, frankly, an impressive series of investment schemes and scams for a licensed […]
Alejandro Ariel Torres of Hollywood, Florida was permanently barred and fined $59,600 plus interest in a deferred restitution to a customer, according to Financial Industry Regulatory […]
This July, Financial Industry Regulatory Authority, or FINRA, reported a recent closure of a case involving the gauche activities of OFS Securities Inc. from 2011 through […]
According to recent reports from Financial Industry Regulatory Authority, or FINRA, the Syracuse, New York-headquartered independent-brokerage firm Cadaret, Grant & Co., Inc. was fined $75,000 and […]
Hans P. Black and his investment advisory firm, Interinvest, are targets of an SEC complaint alleging a $17 million fraud. According to the SEC, Mr. Black’s […]