Investment Firms

Oct 22nd, 2015
Published by Jeremy Hyndman at Oct 22nd, 2015
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Glendale Securities Settles Front Running Allegations With FINRA

Glendale Securities of Sherman Oaks, California recently agreed to a $12,500 fine and interest payments due to “front running” trades. A broker-dealer engages in front running […]
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Oct 9th, 2015
Published by Jeremy Hyndman at Oct 9th, 2015
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Lee D. Weiss of MIP Global and Family Endowment Partners Sued By SEC

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 […]
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Sep 28th, 2015
Published by Jeremy Hyndman at Sep 28th, 2015
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Edward Jones Makes Millions Overcharging Investors For Municipal Bonds

According to a recent SEC order, Edward Jones has been overcharging for municipal bonds, pocketing an extra $4.5 million as a result of its willful securities […]
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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 28th, 2015
Published by Jeremy Hyndman at Sep 28th, 2015
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Financial Advisor Matthew J Levitt Barred From Securities Industry

Matthew Levitt, formerly of Equinox Securities in Santa Monica, has been permanently barred from the securities industry. According to the Financial Industry Regulatory Authority (FINRA), Mr. […]
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Sep 23rd, 2015
Published by Jeremy Hyndman at Sep 23rd, 2015
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Transamerica in hot water for sales of non-traded REITs and BDCs

Transamerica Financial was recently fined $85,000 and ordered to pay restitution of over $50,000 to customers for overcharging them on sales of non-traded REITS and BDCs […]
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Sep 19th, 2015
Published by Jeremy Hyndman at Sep 19th, 2015
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Securities Broker Kevin R. Montoya Hides Multiple Felonies From Investors

According to Financial Industry Regulatory Authority (FINRA), California-based securities broker Kevin Robert Montoya was recently suspended for a year after failing to report multiple felonies on […]
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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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Sep 15th, 2015
Published by Jeremy Hyndman at Sep 15th, 2015
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David W. Unsworth Attempts to Silence Complaining Customers from FINRA

David Woods Unsworth Jr. of Belvedere, California was recently fined $25,000 and suspended for six months, according to reports from Financial Industry Regulatory Authority, or FINRA. […]
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Sep 14th, 2015
Published by Jeremy Hyndman at Sep 14th, 2015
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Alejandro A. Torres Scams $59,000 From Customer for Shady Startup Venture

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 […]
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