Current Investigations
JoeAnn Walker Barred from Securities Industry
FINRA inquiry of JoeAnn Walker involves Unsuitable VA sales According to the Financial Industry Regulatory Authority (FINRA), the regulator...
Corporate Capital Trust II BDC – Suspends Offering
Investigating Potential Claims Involving Corporate Capital Trust II BDC Did you lose money investing in Corporate Capital Trust II BDC at...
FINRA Censures & Fines Next Financial for Supervisory Issues
Next Financial Group– New Procedures but Misconduct Reportedly Continues According to the Financial Industry Regulatory Authority (FINRA)...
FINRA Censures Former Cetera Firms for Overcharges
Investors Capital Corp., J.P. Turner & Co. and VSR Financial Services to pay restitution According to The Financial Industry Regulatory...
SEC charges Paul W. Smith with Investment Advisory fraud
Paul W. Smith allegedly raised $2.35 million from 30 Investors According to federal court papers, the Securities and Exchange Commission...
Peyton N. Jackson – Permanently Barred from Securities Industry
FINRA Bars New York Advisor Peyton N. Jackson According tothe Financial Industry Regulatory Authority, on September 27, 2017, Peyton N....
