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 […]
HD Vest recently signed a settlement agreement with one of its regulators settling disputes about issues at HD Vest that could significantly affect whether HD Vest […]
According to recent reports from Financial Industry Regulatory Authority, or FINRA, the Syracuse, New York-headquartered independent-brokerage firm Cadaret, Grant & Co., Inc. was fined $75,000 and […]
Financial advisors love to sell variable annuities. The reason is simple—commissions of up to 8%. If a financial advisor can sell you a $200,000 variable annuity, […]
Antonio “Pedro” Vergaray Falcon of Granada Hills, California was terminated from NY Life after an internal investigation concluded that he had provided his own fluid samples […]