May 22nd, 2015

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 […]
May 21st, 2015

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 […]
Apr 20th, 2015

J.W. Korth & Company’s Excessive Bond Markups Reduce Investor Returns

J.W. Korth & Company, Inc. (“J.W. Korth” or the “Firm”) of Lansing, Michigan allegedly charged excessive markups on municipal bond transactions, generating additional revenue for the […]