Current Investigations
SPDR S&P Retail ETF (XRT) Loses 80% of its Assets Friday
SPDR S&P Retail ETF (XRT) Takes a Dive Amidst GameStop Drama According to Bloomberg on Friday, SPDR S&P Retail ETF (XRT), an...
Ex-Merrill Lynch Broker Tyler Delahunt Barred from Securities Industry
FINRA Reportedly Bars Broker Tyler Delahunt after Allegations of Selling Away According to the Financial Industry Regulatory Authority...
David Jenson Reportedly Barred after Allegations
Advisor David Arthur Jenson, of Amarillo TX Barred from Securities Industry According to public records on the Financial Industry...
Charles Kenahan Reportedly Barred after Allegations of Churning
Boston Broker Charles Kenahan, of Merrill Lynch, Barred after Customer Suits Allege Excessive Trades/Churning and Unsuitable Investments...
FINRA fines Goldman Sachs $1.25M for Failing to Fingerprint Reps
Goldman Sachs Sanctioned for Failure to Supervise According to the Financial Industry Regulatory Authority (FINRA), the regulator has...
Former Laidlaw Broker Bryan Mazliach Barred from Securities Industry
Laidlaw’s Bryan Mazliach Reportedly Barred for Allegations of Excessive & Unsuitable Trading According to a default decision posted...
