States

Nov 25th, 2015
Published by Jeremy Hyndman at Nov 25th, 2015
Categories

Edward Jones Financial Advisor Bernard Parker Faces Criminal Charges For Operating Ponzi Scheme in Indiana, Pennsylvania

Bernard Parker stole investor money to remodel his house, but now it looks like he will be living in a federal penitentiary. According to the Securities […]
Do you like it?0
0 Read more
Nov 25th, 2015
Published by Jeremy Hyndman at Nov 25th, 2015
Categories

Allstate Financial Advisor Kenneth Brownlee Implicated in Ponzi Scheme in Buford, Georgia

Mr. Brownlee has been barred from the brokerage business after getting his clients into a Ponzi scheme, according to a hearing panel decision recently issued by […]
Do you like it?0
0 Read more
Nov 20th, 2015
Published by Jeremy Hyndman at Nov 20th, 2015
Categories

Head of Enviso Capital Ryan Bowers Fined and Suspended By FINRA For Withholding Information From Investors In San Diego.

Ryan Neel Bowers of Enviso Capital has been fined $25,000 and suspended from the brokerage industry for five months for failure to make important disclosures to […]
Do you like it?0
0 Read more
Nov 20th, 2015
Published by Jeremy Hyndman at Nov 20th, 2015
Categories

James (“Jim”) Belenis of KMS Financial Fined and Suspended For Improper Sales of Gold Mining Company in Davis California

James D. (“Jim”) Belenis of KMS Financial in Davis, California went off the reservation and ended up in a gold mine. Mr. Belenis broke FINRA rules. […]
Do you like it?0
0 Read more
Nov 12th, 2015
Published by Jeremy Hyndman at Nov 12th, 2015
Categories

Philip Dunwoody Cox of Bluestone Wealth Planning Suspended for Creating False Financial Records

The Financial Industry Regulatory Authority (FINRA) recently suspended Mr. Cox from associating with any broker-dealer for three months due to his conduct at Sterne Agee. According […]
Do you like it?0
0 Read more
Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
Categories

Investors Overcharged at National Planning Corp, a Jackson National Life Affiliate

The Financial Industry Regulatory Authority (FINRA) recently fined National Planning Corporation (NPC) $30,000 for overcharging clients who purchased non-traded REITs. Non-traded REITs are a risky, illiquid […]
Do you like it?0
0 Read more
Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
Categories

At JP Turner Our Customers Are Number… Two?

JP Turner is once again in the regulatory spotlight, being fined by $45,000 by FINRA for failing to give their clients volume discounts their investors were […]
Do you like it?0
0 Read more
Nov 10th, 2015
Published by Jeremy Hyndman at Nov 10th, 2015
Categories

Pennsylvania Investment Advisers Defraud Hundreds of Investors of Over $50 Million

A father-son investment team in Pennsylvania recently settled a lawsuit filed by the Securities and Exchange Commission (SEC) in federal court. According to the complaint, Kevin […]
Do you like it?0
0 Read more
Nov 4th, 2015
Published by Jeremy Hyndman at Nov 4th, 2015
Categories

Multimillion Dollar Ponzi Scheme in Orange County Perpetrated by Roy Dekel and Diverse Financial Corporation

According to an SEC complaint filed in federal court a few days ago, investors who trusted Roy Dekel and Diverse Financial Corporation in Newport Beach may […]
Do you like it?0
0 Read more
Oct 22nd, 2015
Published by Jeremy Hyndman at Oct 22nd, 2015
Categories

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 […]
Do you like it?0
0 Read more
Prev page
12345678910111213
Next page