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Blog, Current Investigations

Aegis Broker Alan Z. Appelbaum Barred after Allegations of Unsuitable Structured Products Sales  

FINRA Reportedly Bars Alan Appelbaum, of Aegis, after SEC charges him with Unsuitable, Unauthorized Trades  According to a Letter of...

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Blog, Securities Fraud

FINRA Sanctions IBN Financial Services for Supervisory Failures 

IBN Financial Services Censured and Fined $30,000 for Supervisory Failures  According to a Letter of Acceptance, Waiver and Consent, the...

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Blog, Securities Fraud

SEC Charges Four Firms with Municipal Bond Disclosure Failures 

SEC says Oppenheimer, BNY Mellon Capital Markets, TD Securities (USA) and Jefferies LLC Failed to Comply with Municipal bond Offering...

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Blog, Securities Fraud

Waddell & Reed to Pay $776K Over ‘Reverse Churning’ Charges  

SEC Hits Waddell & Reed for Overcharging Clients in Wrap Fee Programs   According to the Securities and Exchange Commission this...

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Blog, Securities Fraud

Morgan Stanley to pay $35M to Settle SEC Charges over Customer Information 

SEC says Morgan Stanley Failed to Protect Customers’ Personal Information According to a press release on Sept. 20, 2022, the Securities...

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