Tag: broker fraud
Former PrimeVest Advisor Brian Anderson sentenced to prison
Brian Anderson, a former registered representative with PrimeVest Financial Services in Jersey City, has been sentenced to 68 months in...
Securities Fraud Investigation Involving Provident Royalties, LLC
The White Law Group is investigating securities fraud claims involving Provident Royalties, LLC. Specifically, the firm is investigating...
Rhonda Breard Barred From Securities Industry
Rhonda Breard, a Kirkland, Wash., investment adviser who has been accused of stealing an estimated $8 million from at least 38 clients, has...
FINRA Fines For Mutual Fund Sales Practices
In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...
Janney Montgomery Scott Regulatory History and Sales Practices
Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based FINRA broker-dealer. Janney Montgomery Scott has from...
Information Regarding Waddell & Reed’s Sales Practices
Waddell & Reed’s sales practices have been the subject of regulatory inquiry on several occasions. Back in 2005, FINRA resolved its...
