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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 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 […]
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) […]
Nov 18th, 2016
Mr. Robert (“Bob”) M. Lyons of August, Georgia recently entered into a settlement agreement with the Financial Industry Regulatory Authority for conduct that led to customers […]
Nov 13th, 2016
Sigma Financial joined a long line of brokerage firms that have gotten in trouble for overcharging customers recently, settling allegations brought by the Financial Industry […]