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- In the News
- Raymond James to Pay $15M to Settle Hidden-Fee Claims
- Troy Accounting Firm Accused of Nationwide Scam
- Broker Who Prayed With Clients is Said to Have Bilked Them
- Mortgage Bets Trip Up Main Street Investors — And a Group of Nuns
- Brokers’ Wrong Bets Cost South Florida Seniors Millions
- Money Manager Ordered to Pay South Florida Family $3.2 Million
- Morgan Stanley Faces Class Action Lawsuit for Failure to Comply With Arbitration Rule
- Morgan Stanley Faces $100M Suit
- Class Action Brewing Against Purcell, Morgan Directors
- Fla. Law Firm Seeks $100M in Damages From Morgan Stanley
- Morgan Stanley Faces Document Suit
- Morgan Stanley Hit With Class Action Alleging Discovery Improprieties
- Morgan Stanley Faces Suit Tied to New Evidence
- Morgan Stanley Sued for $100M
- All That Missing E-Mail … It’s Baaack
- Morgan Stanley Faces Suit Over Evidence
- Morgan Stanley Sued in Florida
- Morgan Stanley Faces Suit
- Morgan Stanley Faces Suit Over Evidence
- Coconut Creek Man Wins Arbitration Against Morgan Stanley
- Prudential to Pay $2M
- Mutual Fund Investors Sue Merrill Lynch for One Billion Dollars
- Morgan Stanley is Ordered to Pay Client $100,000.00
- Sue Your Broker
- Class Action Recovery Effort Suit in Fort Lauderdale Says Mutual Benefits Corp. Defrauded Investors of $1.5 Billion Before Receivership
- Along for the Ride
- Class-Action Cowboys
- Lost a Pile on the NASDAQ? Maybe It Wasn’t Your Fault
- Attorney Sues Merrill Lynch in Broward Court
- Investors Sue Merrill Lynch for 1 Billion Dollars
- Boynton Investors Sues Merrill; Lawsuit Seeks Lost Savings
- Merrill Lynch Sued in Broward by Mutual Fund Investors
- Getting the Money Back; In the Wake of Wake of Wall Street Settlement, Thousands of Investors Look To Recoup
- Queen of the Net’ Mary Meeker Appears Before Boca Panel to Answer Complaint Filed by Investor
- Jet Forced to Land at Regional Airport
- Morgan Stanley Seeks to Change Basis for Award in a Stock Case
- Morgan Stanley Disputes Arbiters Firm’s Research Status at Issue
- Money Lost and a Search for Answers
- Morgan Stanley, Meet the Irate Investor
- As Investors Win Arbitrations, Brokerage Houses Keep Paying
- Stocks Mixed on Jobs Report, Inflation Concerns
- Class Action Brewing Against Purcell, Morgan Directors
- Law Firms File Federal Class Action Lawsuit Against Raymond James & Associates, Inc. Alleging Unreasonable and Unauthorized “Processing Fee” Charges in Passport Accounts
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- Current Investigations
- COVID-19 (Coronavirus) MARKET Losses
- Coronavirus Negligence by Stockbrokers
- FINRA Sanctions Delaney Equity Group, LLC
- UBS Puerto Rico Bond Losses
- Lehman Brothers’ Principal Protected Notes
- MF Global Holdings
- Puerto Rico Conservation Trust Fund Secured Notes
- McGinn Smith and National Financial Services, LLC
- Freddie Mac / Fannie Mae Preferred Stock
- Carr Miller Capital LLC
- Provident Asset Management
- Medical Capital Holdings
- FINRA Investor Alert
- Banorte-Ixe Securities
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- List of FINRA Members Firms # – B
- List of FINRA Members Firms B (Continued) – C
- List of FINRA Members Firms C (Continued)
- List of FINRA Members Firms D – E
- List of FINRA Members Firms F – G
- List of FINRA Members Firms G (Continued) – I
- List of FINRA Members Firms I (Continued) – L
- List of FINRA Members Firms L (Continued) – M
- List of FINRA Members Firms M (Continued) – P
- List of FINRA Members Firms P (Continued) – R
- List of FINRA Members Firms R (Continued) – S
- List of FINRA Members Firms S (Continued) – T
- List of FINRA Members Firms U – Z
- List of FINRA Members Firms (Continued)
- Verdicts & Settlements
- Articles
- FINRA Complaint Filed Against John W. Cutshall
- Harold Connell of CP Capital Securities Barred and Expelled by FINRA
- Richard Foster Fined and Suspended for Six Months
- Eckstein Named as Respondent in FINRA Complaint
- LaMarre Fined and Suspended for Unsuitable Recommendations
- OHO Issues Decision Regarding David O. Braeger
- Complaint Filed Against Meyers Associates and Two of It’s Brokers
- Jay Jordan Barred From FINRA
- Scott Sibley Barred From FINRA
- Cecil Ernest Nivens Named in FINRA Complaint
- Ultralat Capital Markets, Inc. Censured and Fined by FINRA
- Alejandro Falla (Miami, Florida) Barred From Acting as Broker and Associating with Any FINRA Member in Any Capacity
- LPL Financial Fraught with Allegations of Supervisory Failures
- Total Wealth Management Sanctions Kickbacks
- U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charges
- Judge Orders Attorney to Pay Nearly $4 Million in Prime Bank Investment Scheme
- Florida Transfer Agent Charged by SEC with Defrauding Investors
- Goldman Sachs Group, Inc. to Face Judge in September
- Oppenheimer Advisor Targets Elderly Widow
- FINRA Questioning Brokerage Firm “Culture”
- Barred Investment Advisor Swindles Clients for Nearly $9 Million
- UBS Continues to Face Controversy Over Puerto Rico Muni Bonds
- Rafferty Capital Markets Enables Unregistered Firm to Engage in Illegal Trades
- Private Fund Manager Charged by SEC for Theft of Investor Funds
- FINRA Castigates Prodigious Morgan Stanley Smith Barney for Supervisory Failures
- Feds, SEC Tag Qualcomm Managers for Insider Trading
- Barred Stock Broker Dupes Investors in Florida Real Estate Deal
- SEC Landmark Non-prosecution Deal in Insider Trading Racket
- Widespread “Expert Networks” Investigation by SEC Snags Dozens for Insider Trading
- SEC and Homeland Security Squash TelexFree Pyramid Scheme
- Transamerica Financial Advisors Breakpoint Discounts? Nor for Everyone
- Defunct Direct Access Partners Scuttled by Shady Practices
- IT Giant Hewlett-Packard Charged with FCPA Violations
- FINRA Fines LPL Financial Nearly $1,000,000 for Supervisory Short-Falls
- Florida-based YouTube Ponzi Scam Draws Attention of SEC, Criminal Authorities
- Bitcoin Continues to Be of Concern to Regulatory Authorities
- Two Guys Walked into a Bar: Investment Broker, Law Clerk, and “Middleman” Bilk $5.6 Million Through Insider Trading
- Puerto Rico Municipal Bonds: Not Just Another Muni
- UBS Puerto Rico, Executives Shill Investors
- International Pyramid Scheme Gouges Investors Through Use of Social Media
- Berthel Fisher and Affiliate, Securities Management & Research, Fined $775,000
- Global Conglomerate, Credit Suisse Group AG, Fined for SEC Violations
- AML Violations Lead to Historic Penalty for Brown Brothers Harriman
- SEC Takes Action to Minimize Microcap Fraud: Targets Hundreds of Shell Companies
- Know Your Stock Attorney
- Legg Mason Affiliate Charged with Defrauding Clients
- SEC’s Risk Alert Regarding Alternative Investments Due Diligence
- KPMG Violates Directives Regarding Auditor Independence
- FINRA Investor Alert
- February 2012 FINRA Florida Disciplinary Actions
- January 2012 FINRA Florida Disciplinary Actions
- FINRA Issued Investor Alert on Public Non-Traded REITs
- SEC Implements Whistleblower Award Program
- FTC Shuts Down American Precious Metals, LLC, a Precious Metals Boiler Room Based out of Deerfield Beach, Florida that Preyed on Seniors
- SEC Charges Subprime Auto Loan Lender and Executives With Fraud
- SEC Shuts Down Multiple Chinese Companies Listed on U.S. Stock Exchanges and Investigates Their Practices
- Regulators Continue Efforts to Rein in New Ponzi Schemes
- The Lehman Bankruptcy – Everyone is Getting Paid But the Victims
- FINRA Fines H&R Block Financial Advisors for Inadequate Supervision of Reverse Convertible Notes Sales and Issues Guidelines for the Sale of These Products
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