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Tag: securities fraud attorney

Blog, Securities Fraud

FFEC Wealth Partners LLC Allegedly Failed to Supervise Margin use, Mutual Fund Switches 

FINRA Sanctions FFEC Wealth Partners for Supervisory Failures  According to the Financial Industry Regulatory Authority (FINRA), the...

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Blog, Current Investigations, Securities Fraud

Hugh O. Barndollar III, Crown Capital, Allegedly “Sold Away” from Firm 

FINRA Reportedly Suspends Hugh “Hobby” Barndollar for Two Years after allegations of unapproved securities transactions   According to...

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Blog, Current Investigations

Ex-JP Morgan Broker Edward Turley Barred from Securities Industry

FINRA Bars Ed Turley after Allegations of Unsuitable Trading, Misrepresentation   According to public records posted on FINRA’s website...

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Blog, Current Investigations, Securities Fraud

GWG Holdings Executives Resign following Internal Review 

Update on GWG Holdings Investigation: Lawsuits to Recover Investment Losses  According to reports this week, two executives of GWG...

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Blog, Current Investigations

New Haven Broker John Anthony Sommo Barred from Securities Industry  

John Sommo, UBS Financial Services, Barred after allegations of unsuitable investments   According to the Financial Industry Regulatory...

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Blog, Securities Fraud

Unsuitable Investment Lawyer  

Did your Broker recommend an Unsuitable Investment? FINRA Rule 2111 requires that a firm or its representative have a reasonable basis to...

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