Securities Fraud Articles
FINRA BrokerCheck to Flag “Restricted Firms”
The SEC Approves new Designation on FINRA’s BrokerCheck of “Restricted Firm” According to reports this week, the...
FINRA ups its Game with Reg BI Enforcement
FINRA Sanctions Laidlaw Brokers for violation REG BI in Excessive Trading Case According to an article this week in Financial Planning,...
FINRA “Statute of Limitations”
How long do I have to file a FINRA Claim? If you have suffered significant losses investing with your financial advisor or broker, you...
Robert Turner Barred after Allegations of Million-dollar Fraud
Robert Earl Turner, Jr., Waco, Texas, Barred from Securities Industry According to a Letter of Acceptance Waiver and Consent on January...
SEC Investigating RIAs over Crypto-Asset Custody
The SEC is Reportedly Investigating Registered Investment Advisors (RIAs) re Rules for Crypto-assset Custody The Securities and Exchange...
Anthony “Tony” Liddle Allegedly Defrauded 13 Advisory Clients
SEC Charges Anthony Liddle with Defrauding investors of $1.9 Million According to a litigation release on January 24, 2023, the...
