FINRA SEC Sanctions
Ceros Financial Services Censured and Fined $90,000
FINRA Fines Ceros Financial Services for Rules Violations The Financial Industry Regulatory Authority reportedly sanctioned Ceros Financial...
Zona Energy Inc.: Broker Fraud Complaints
SEC Charges Arete Reps with Broker Fraud Involving Zona Energy Inc. The SEC has reportedly charged Arete Wealth Management LLC, its...
Rubicon Advisor Allegedly Misappropriated $20 Million from Clients
Securities Regulators Charge Pennsylvania Advisor, Rubicon Wealth with Fraud The SEC reportedly charged former Pennsylvania investment...
Two Sigma Investment Advisors Sanctioned for “Vulnerabilities”
The SEC Fines Two Sigma Investment Advisors $90 million Two New York-based investment advisors, Two Sigma Investments LP and Two Sigma...
Jason Head, Morgan Stanley, Broker Fraud Allegations
FINRA Bars Broker Jason Head after Allegations of Theft According to public records on January 15th, 2025, The Financial Industry...
John Dow Jr., Morgan Stanley, Broker Investigation
John Dow Jr. Barred by FINRA after Allegations According to public records on January 6th, 2025, The Financial Industry Regulatory...
