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December 15, 2020
FINRA says there will be an Increase in Excessive Trading Cases in 2021 The Financial Industry Regulatory Authority (FINRA) is cracking...
Current Investigations, Securities Fraud
January 26, 2018
FINRA Alleges Joseph C. Farah Churned Customer’s Account According to the Financial Industry Regulatory Authority, on January 17, 2018,...
October 13, 2017
Steven John Meyer, Recovery of Investment Losses According to the Financial Industry Regulatory Authority, Steven John Meyer of Staten...
May 4, 2017
Barclays Capital Failure to Supervise According to an SEC press announcement this week, Barclays Capital will pay more than $16.5 million...
April 27, 2017
SEC Investigates Demitrios Hallas for Unsuitable investments Have you suffered losses investing with former financial advisor Demitrios...
Current Investigations, Securities Fraud
April 4, 2017
Recovery of Investment Losses with Dawn Bennett Former investment adviser Dawn Bennett must pay nearly $4 million for inflating assets and...
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