The Financial Industry Regulatory Authority (FINRA) claims that it has banned another former JPMorgan broker who is accused of inappropriately obtaining economic relief from the federal government. According to BrokerCheck, JPMorgan has fired Yonara Valerio …
JPMorgan Broker Yonara Valerio Banned Over COVID Relief Funds Investigation Read More »
The 45-year-old investment advisor Martin Ruiz, of New York, New York, and Santa Fe, New Mexico, has been charged with investment advisor fraud for defrauding investors. He used the front of Carter Bain Wealth Management …
Elderly New Mexico Investors Fall Prey to Fraudulent Scheme Read More »
Thanks to its ‘significant’ cooperation with investigating authorities, and subsequent implementation of remedial measures, GWFS Equities Inc. (GWFS) appears to have been spared some embarrassment and possibly stiffer penalties as the Securities Exchange Commission (SEC) …
GWFS Equities Fined $1.5M For Failure To Report Suspicious Activity On Accounts Read More »
David Lerner Associates (DLA) has been slapped with another 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 …
Energy 11 – David Lerner Associates Lawsuit Filed Read More »
An arbitration claim filed with the Financial Industry Regulatory Authority (FINRA) has asked for $23 million in damages and has accused brokerage firm UBS and its financial advisor Andrew Burish of violation of suitability guidelines …
UBS Broker Andrew Burish Faces $23 Million In Damages In Failed Tesla Short Strategy Read More »
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, …
Peter Schiff Net Worth, Investment Strategy & Residence Read More »
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 »
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 »
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