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Blog, Securities Fraud Articles

FINRA Fines Broker-Dealers $1.65 Million for Supervisory Failures

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined five bank broker-dealers a total of $1.65 million...

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Blog, Securities Fraud Articles

FINRA issues alert about “Phishing” Scam

FINRA recently issued an Alert to warn the public about a recent auction rate securities (ARS) “phishing” scam that promises...

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Blog, Securities Fraud Articles

Roberto Etiel Rodriguez, formerly of Leumi Investment Services Inc. in Miami Beach, Florida, barred from FINRA for securities violations.

FINRA recently announced that Roberto Etiel Rodriguez, formerly of Leumi Investment Services Inc. in Miami Beach, Florida, has been barred...

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Blog, Securities Fraud Articles

Frederick J. Barton allegedly defrauded a client

The SEC recently announced that an Administrative Law Judge issued an Initial Decision in Frederick J. Barton (Barton), Admin. Proc....

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Blog, Securities Fraud Articles

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SEC charges Frank Bluestein with securities fraud

The Securities and Exchange Commission recently announced that it had charged Detroit-area stock broker Frank Bluestein, formerly of...

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Blog, Securities Fraud Articles

David Michael Piazza fined and suspended from FINRA

FINRA recently announced that David Michael Piazza, formerly of Farmers Financial Solutions, LLC in Montgomery, Illinois, has been fined...

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