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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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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 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 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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Sep 13th, 2015
Published by Jeremy Hyndman at Sep 13th, 2015
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Permanently Barred: Advisor Cecilia Le at J.P. Morgan Securities Steals Client Money

Cecilia Carolyn Hang Minh Le of Santa Ana, California was permanently barred from “acting as a broker or otherwise associating with firms that sell securities to […]
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Sep 13th, 2015
Published by Jeremy Hyndman at Sep 13th, 2015
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John M. Saad Permanently Barred After Falsifying Expense Reports

John Michael Elias Saad of Atlanta, Georgia was recently barred “from acting as a broker or otherwise associating with firms that sell securities to the public.” […]
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Sep 10th, 2015
Published by Jeremy Hyndman at Sep 10th, 2015
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Cape Securities’ CCO Michael Lovett Establishes Inadequate Supervisory System That Leads to Wire Transfer Fraud

Michael Allen Lovett of Lawrenceville, Georgia was recently fined $5,000 and suspended for six months, according to Financial Industry Regulatory Authority, or FINRA. Reports detail that […]
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Sep 8th, 2015
Published by Jeremy Hyndman at Sep 8th, 2015
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New Report Reveals Wells Fargo Advisors Were Unethically Front Running Customers

Financial Industry Regulatory Authority, or FINRA, recently reported that representatives from Wells Fargo Advisors, LLC. in St. Louis, Missouri unethically prioritized their own interests above their […]
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