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Month: August 2021

Blog, Current Investigations

Herbert J Sims & Co. to Pay $250,000 for Structured Products

SEC censures and fines Herbert J Sims and Co., Boca Raton, FL According to an SEC order on July 30, the regulator has initiated a cease and...

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Blog, Securities Fraud Articles

SEC Approves FINRA Rule Change to Protect Investors from Rogue Brokers

FINRA Rule Change will Protect Investors from High Risk Firms, Broker Misconduct According to The Securities and Exchange Commission on...

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Blog, Current Investigations

Barred Broker Dana Vietor has 3 New Customer Complaints 

FINRA bars Former CFD Advisor Dana Vietor after Allegations of Unapproved Securities Sales  On March 23, 2020, The Financial Industry...

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