FINRA SEC Sanctions
Former Arizona Financial Advisor Bart Ellis Pleads Guilty
Bart Ellis Accused of Defrauding Clients for more than $1.1 Million Have you suffered losses investing with former financial advisor, Bart...
FINRA Sues Berthel Fisher and Former Advisor
FINRA Sues Berthel Fisher and Former Advisor According to reports, FINRA is charging Berthel Fisher with failure to supervise sales of unit...
Douglas Simanski Barred from Securities Industry
According to FINRA, Douglas P. Simanski (CRD #2606998, Lilly, Pennsylvania) submitted an AWC in which he was barred from association with...
Securities America to Pay $1.54 million in Customer Restitution
According to the Financial Industry Regulatory Authority (FINRA) between July 1, 2009 and July 1, 2015 Securities America,...
JP Morgan Chase fined by SEC
J.P. Morgan Chase agreed to pay $4 million The Securities and Exchange Commission recently announced that J.P. Morgan’s brokerage...
FINRA Bars Former Caldwell Broker for Churning Customer Accounts
FINRA Issues Punishments for Churning FINRA recently announced that they have permanently barred Richard Adams, a former registered...
