Current Investigations
CV Brokerage Inc. Censured & Fined $100,000
FINRA Sanctions CV Brokerage Inc., Williamstown, NJ According to FINRA’s September Disciplinary report, on July 2, 2019, the regulator...
Robert H. Hoffman Broker Investigation
Financial Advisor Robert H. Hoffman, Woodbury Financial Services in Greenwood, IN Are you concerned about investments with Robert H....
Bradley Mascho Securities Fraud Investigation Update
Dawn Bennett’s “right hand man,” Bradley Mascho Sentenced to Prison According to reports this week, Bradley Mascho, Dawn Bennett’s...
Raymond James & Associates to Pay $15 million
Raymond James Settles SEC Charges for Improper Advisory Fees According to a press announcement yesterday, Raymond James & Associates, a...
SEC Fines Stifel Nicholas & BMO Capital Markets $4.65 Million
Stifel Nicholas & BMO Capital Markets Sanctioned for Reportedly Providing Deficient Blue Sheet Data According to press announcement on...
Michael L. Oromaner Broker Investigation
Financial Advisor Michael L. Oromaner, Cova Capital Partners in Syosset, NY Are you concerned about investments with Michael L. Oromaner in...
