Securities Fraud Articles
LPL to Pay $26 Million for Failure to Supervise
LPL Financial Settles Charges with State Regulators According to a press announcement, LPL Financial has agreed to pay up to $26 million to...
Former Ameriprise Advisor James Knee Indicted
James Knee charged with Theft, Financial Exploitation of the Elderly According to an article posted on wmur.com, former financial advisor...
SEC Announces Final Judgment – Lionshare Ventures & CEO
Lionshare Ventures LLC and Christopher Esposito charged in Fraudulent Scheme According to the Securities and Exchange Commission, on April...
Advisor Barry Connell ordered to pay Former Employer Morgan Stanley $6 Million
FINRA Arbitration Panel Awards Morgan Stanley for $6 M for Damages According to a FINRA award document, a FINRA arbitration panel has...
Western International Securities Censured & Fined for ETFs
FINRA Sanctions Western International Securities for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA),...
FINRA Tightens up on Churning Violations
FINRA proposes new rule for Churning Fraud – Excessive trades The Financial Industry Regulatory Authority Inc. is proposing a new rule to...
