Financial Advisors

Jun 8th, 2015
Published by Jeremy Hyndman at Jun 8th, 2015
Categories

Five Million Dollar Investment Scam Rips Off Investors In Maryland, Virginia, And California

Investors were defrauded by the employees of two separate companies, North Star Finance LLC and Capital Source Lending LLC, when the employees persuaded them to invest […]
Do you like it?0
0 Read more
Jun 7th, 2015
Published by Jeremy Hyndman at Jun 7th, 2015
Categories

Financial Advisor In Bethesda, Maryland Hides Felony

An investor deserves to know if their financial advisor has committed burglary and owes back taxes to the IRS. Patrick M. Ebel, formerly employed with NYLife […]
Do you like it?0
0 Read more
Jun 3rd, 2015
Published by Jeremy Hyndman at Jun 3rd, 2015
Categories

Gray Financial Group Defrauds Police And Firefighter Pension Funds

The Securities and Exchange Commission (“SEC”) has charged Gray Financial Group, as well as its president, Laurence Gray (“Gray”), and co-CEO, Robert Hubbard (“Hubbard”), with fraud. […]
Do you like it?0
0 Read more
Jun 1st, 2015
Published by Jeremy Hyndman at Jun 1st, 2015
Categories

Los Angeles Financial Advisor Makes Excessive Commissions With Unauthorized Trades

Armen Bahadourian, formerly registered with UnionBanc, has been fined $10,000 for violating FINRA rules, and must pay back $6,880.75 in disgorgement of wrongly earned commissions. Bahadourian […]
Do you like it?0
0 Read more
May 29th, 2015
Published by Jeremy Hyndman at May 29th, 2015
Categories

People’s Securities Inc. Financial Advisor Steals $17,400 From Client

Tricia Denise Willis (“Willis”) in Vernon, Connecticut has been banned from the securities industry for committing fraud and conversion. She forged a customer’s signature to withdraw […]
Do you like it?0
0 Read more
May 22nd, 2015
Published by Jeremy Hyndman at May 22nd, 2015
Categories

Ameriprise Financial Advisor Suspended for Hiding Competing Outside Business Venture from Employer

Sean Eric Mattson of South Lyon, Michigan was suspended for one month for failing to disclose his outside business activity of financial planning services to his […]
Do you like it?0
0 Read more
May 21st, 2015
Published by Jeremy Hyndman at May 21st, 2015
Categories

Million Dollar Ponzi Scheme Flourishes as Investment Firm Fails to Supervise Financial Advisor

FINRA fined and barred Terry Joe Bagwell of Pruco Securities, LLC (Pruco or the “Firm”) in Hoover, Alabama from the securities industry for participating in a […]
Do you like it?0
0 Read more
May 21st, 2015
Published by Jeremy Hyndman at May 21st, 2015
Categories

Charles Schwab Investment Advisor Suspended for Stealing Confidential Customer Information

Sadeer Thomas Jamil of Commerce, Michigan, was suspended from the securities industry. He took over 150 pictures of his customer’s “nonpublic personal information,” and moved the […]
Do you like it?0
0 Read more
May 20th, 2015
Published by Jeremy Hyndman at May 20th, 2015
Categories

Gilbert Investment Advisor Suspended for Withholding Outside Business Activities from Employer

James A. Rosebrough Jr. of Gilbert, Arizona was fined and suspended for 30 days after participating in outside business ventures with a client, and withholding the […]
Do you like it?0
0 Read more
May 14th, 2015
Published by Jeremy Hyndman at May 14th, 2015
Categories

Irvine Stockbroker Suspended for Failing to Disclose Almost $500,000 in Unsatisfied Tax Liens

Andrew Henry Conley, a stockbroker with B.B. Graham & Company, Inc. in Riverside, California, was suspended for failing to timely update his Form U4 to disclose […]
Do you like it?0
0 Read more
Prev page
123456789
Next page