Current Investigations
Mark A. Trewitt Broker Investigation
Financial Advisor Mark A. Trewitt, VFG Securities in Plano, Texas Are you concerned about investments with Mark A. Trewitt in Plano, Texas?...
Scott Gunnip Broker Investigation
Financial Advisor Scott Gunnip, Morgan Stanley in South Lake, Texas Are you concerned about investments with Scott Gunnip in South Lake,...
CV Brokerage Inc. Censured & Fined $100,000
FINRA Sanctions CV Brokerage Inc., Williamstown, NJ According to FINRA’s September Disciplinary report, on July 2, 2019, the regulator...
Robert H. Hoffman Broker Investigation
Financial Advisor Robert H. Hoffman, Woodbury Financial Services in Greenwood, IN Are you concerned about investments with Robert H....
Bradley Mascho Securities Fraud Investigation Update
Dawn Bennett’s “right hand man,” Bradley Mascho Sentenced to Prison According to reports this week, Bradley Mascho, Dawn Bennett’s...
Raymond James & Associates to Pay $15 million
Raymond James Settles SEC Charges for Improper Advisory Fees According to a press announcement yesterday, Raymond James & Associates, a...
