The Financial Industry Regulatory Authority (FINRA) has censured and fined three broker-dealers, Securities America, J.W. Cole Financial, and Cambridge Investment Research for failing to supervise their brokers’ recommendations and conduct due diligence on LJM Preservation …
FINRA Fines Broker-Dealers $3.5M For LJM Preservation & Growth Fund Read More »
President of “Gold Bugs,” American stockbroker, financial commentator, and radio personality Peter Schiff has an ambiguous personality, sort of. For years, the 57-year old CEO of Euro Pacific Capital Inc., a broker-dealer based in Westport, …
GPB Capital is suing Signature Bank for a little over two million dollars claiming the lender improperly seized cash from its accounts over loan defaults. One of the loans is from the Covid-19 federal Paycheck …
GPB Capital Sues Signature Bank For $1M PPP Loan Read More »
David Lerner Associates (DLA) has been slapped with a Financial Industry Regulatory Authority (FINRA) arbitration claim of $100K by a New York widow. Her claim stems from the losses incurred as a result of investments …
David Lerner Associates Complaint Filed For Energy 11 Sales Read More »
Two weeks ago GPB Capital and two key executives were charged with fraud for allegedly running a Ponzi-scheme and as a result, many broker-dealers like Triad Advisors that sold GPB are facing lawsuits from investors. …
Investors File Complaints Against Triad Advisors For GPB Capital Sales Read More »
JP Morgan Securities (JPMS), along with its ex-brokers, Avi Schottenstein and Evan A. Schottenstein, who are also grandsons of the claimant, are ordered to pay $19 million to a senior investor, as determined by an …
JP Morgan Securities Pays Grandmother $19M for Elder Financial Abuse Read More »
Late on Thursday even as the Securities and Exchange Commission (SEC) made the emergency request for an independent monitor, a hearing on which was slated for Friday morning in the US District Court for the …
GPB Capital Holdings Agrees to Outside SEC Monitor Read More »
Robinhood is being sued and also alledgely selling investors Gamestop stock (GME) without warning or consent. This comes after they restricted several stocks other companies from investors to trade that this morning. 4:38 PM Update: …
Grossly negligent behavior, breach of fiduciary duty, misrepresentations and omissions, securities, and unsuitable investment recommendations are the charges leveled against LPL Financial and Tamber King Proctor, a former broker at the firm, by a Mississippi …
Investor Files Claims Against LPL For Northstar Healthcare REIT and FS Energy Read More »
A Portage Michigan stockbroker Christopher Thomas Tolmacs (Chris Tolmacs) registered with Triad Advisors Inc. was subject to customer-backed investment-related arbitration where the customer was awarded damages of $95K. The allegations included i) the client was …
Triad Advisors Financial Advisor Chris Tolmacs BARRED Read More »
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