Weekly Wall Street Cheat Sheet

Regulatory News

Prime Capital Advisor, Tim Hakes, Accused of Misappropriating Funds

Tim Hakes, an Overland Park-based financial advisor, is facing a lawsuit from a client who claims that he misappropriated funds. Hakes has been in the ...
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Investor Alleges $1mm-$5mm Damages Against Ameritas Advisor Thomas Geissler

According to a recent lawsuit filed against Thomas Geissler of Toledo, Ohio as a financial adviser, his conduct led to damages that totaled seven figures. ...
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Newbridge Securities Corp’s Kerri Jamison Facing Suitability Questions Following Customer Complaints

LPL Financial Readies for $50M Fine From SEC

In a significant development that underscores the Securities and Exchange Commission’s (SEC) ongoing crackdown on unapproved communication channels within the financial sector, LPL Financial is ...
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