Overcharging Accounts

Sep 28th, 2015
Published by Jeremy Hyndman at Sep 28th, 2015
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Equinox Securities Caused Massive Investment Losses, FINRA Alleges

According to a Complaint recently filed by FINRA (the Financial Industry Regulatory Authority), Equinox Securities may be responsible for decimating the retirement accounts of several investors. […]
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Sep 18th, 2015
Published by Jeremy Hyndman at Sep 18th, 2015
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Allegis Investment Advisors’ Options Strategy May Cause Massive Losses For Unsuspecting Clients

If you are a client of Allegis Investment Advisors, you may want to check your account statement and see if your investment advisor is placing you […]
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Jun 25th, 2015
Published by Jeremy Hyndman at Jun 25th, 2015
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Purshe Kaplan Sterling Financial Advisor Charges Clients Double

Mr. Larry Phillips of Purshe Kaplan Sterling Investments and Phillips Group Advisors was recently fined for double-charging clients. Mr. Philips purchased notes, certificates of deposit, and […]
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Nov 1st, 2014
Published by Jeremy Hyndman at Nov 1st, 2014
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SunTrust Investment Services Overcharges Advisory Clients

SunTrust received an $80,000 fine for overcharging investment advisory accounts. It appears that the misconduct lasted approximately two and a half years. SunTrust has returned approximately […]
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