FINRA SEC Sanctions
FlowPoint Partners Charged with Fiduciary Breaches
SEC Charges Florida Firm with Fiduciary Breaches Linked to Private Funds The SEC has reportedly charged FlowPoint Partners, a Florida-based...
CFP Board Sanctions Financial Planners: August 2024
CFP Board Announces Sanctions on Certified Financial Planners The Certified Financial Planner Board of Standards, Inc. (CFP Board), a...
Janney Montgomery Scott: Regulatory History and Sales Practices
The White Law Group reviews the regulatory history of Janney Montgomery Scott. Established in 1832, Janney Montgomery Scott is a...
Chicago Advisor David Wells Allegedly Defrauded Clients
SEC Bars David Wells for Allegedly using Senior Clients’ Cash for Secret Options Trading The SEC has reportedly barred David Sheldon...
Gino Rahman, Merrill Lynch, Barred by FINRA
FINRA Bars Gino Rahman, Merrill Lynch Broker, after Allegations According to public records, the Financial Industry Regulatory Authority...
Three Brokers Barred in Horizon Ponzi Scheme
SEC Bars Three Brokers in Horizon Ponzi Scheme Today the US Securities and Exchange Commission (SEC) announced it has settled charges with...
