Author: D. Daxton White
Oil Companies At Risk of Bankruptcy
The sustained decline of oil prices could mean tough times are ahead for many companies. Industry experts are expressing particular concern...
Aegis Capital Corp Accused of Selling Unregistered Penny Stocks
The New York based brokerage firm, Aegis Capital Corp, agreed to pay $950,000 to settle allegations with the Financial Industry Regulatory...
Kwen Chun Pleads Guilty to Fraud Charges
In recent news, former MetLife Securities broker, Kwen Y. Chun has pled guilty to mail fraud. Chun reportedly admitted to stealing more...
SEC Awards Whistleblower $3 Million
The Securities and Exchange Commission (SEC) recently announced they recently awarded a multi-million dollar payout to a whistleblower. The...
JP Turner to shutter
Cetera Financial Group, which owns the independent broker-dealer industry’s largest network group, is closing down one of its...
Morgan Stanley Pays Investors $2.4 Million
Investigation Update Morgan Stanley has been ordered to pay $2.4 million to investors due allegations of unauthorized and excessive trading...