Current Investigations
Kovack Securities Sanctioned for Mutual Fund Trading
FINRA Censures and fines Kovack Securities in connection with Short-term Mutual Fund Trading According to a Letter of Acceptance Waiver...
James Dunn Jr. Barred after Allegations of Misconduct
Update on Investigation: FINRA reportedly bars James Dunn after 22 Customer Complaints According to public records, the Financial...
FINRA Sanctions Capital Investment Group Inc. for Unsuitable GPB Sales
FINRA Censures and Fines Capital Investment Group Inc. for Unsuitable GPB Funds Sales According to The Financial Industry...
MLS Fined for Failure to Supervise Broker Charles Evan
Mass. Securities Regulators Reportedly Fine MLS $250,000 for Failure to Supervise Broker Charles J. Evan According to a consent order...
Investor Alert: Citigroup’s Structures Notes Linked NVIDIA Corp.
Securities Investigation: Citigroup Autocallable Contingent Coupon Equity Linked Securities Linked to NVIDIA Corp. Have you suffered...
Securities Investigation: Citigroup’s Structured Notes
Investor Lawsuits: Citigroup’s Autocallable Contingent Coupon Equity Linked to the Worst Performing of Apple Inc., NIKE, Inc., The Walt...
