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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 […]
Feb 8th, 2017
Clients of Vanclef Financial Group might be finding out the hard way that you can lose a lot of money in alternative investments. The Financial Industry […]
Jan 16th, 2017
Imagine that you have woken up every day for eight years enjoying your secure retirement. Then, one day, you learn that the retirement portfolio you thought […]
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 18th, 2016
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, […]
Nov 18th, 2016
According to settlement papers signed with the Financial Industry Regulatory Authority (FINRA), Mr. Gorelik, a financial advisor with a long career, has been misrepresenting his […]
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 […]