Adam S Kaplan and Daniel E Kaplan, 35 year-old twin brothers who were both registered as brokers and financial advisors, have been charged by the Securities and Exchange Commission (SEC) with misappropriating more than $5 million from their clients.  According to a recent article in Financial Advisor IQ, Adam S Kaplan and Daniel E Kaplan, allegedly engaged in illegal activities […]

The Wall Street Journal recently reported that North Carolina insurance entrepreneur, Greg Lindberg, was indicted on charges alleging that he had directed a criminal scheme to defraud policyholders of hundreds of millions of dollars which in part financed his lavish lifestyle. These new charges from the Western District of North Carolina are the latest charges in […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: EMERSON EQUITY, LLC, and their registered representative, TONY BAROUTI. (Respondents) The Claimant is a retiree living in California who was looking for conservative investments that could generate a stable income to sustain him through retirement without any risk of loss […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Doug Maurer (also known as Aaron Douglas Maurer) [CRD: 3007121, White Plains, NY]. Not only has FINRA sanctioned Maurer for selling away, but investors complained about the securities broker. However, Maurer denies the allegations. Read on to learn more about the allegations against […]

The Financial Industry Regulatory Authority (FINRA) has fined and suspended New York broker, EDWARD SCOTT SHORT (EDWARD S SHORT), on January 31, 2023, over alleged violations of the Securities and Exchange Commission’s Regulation Best Interest, or Reg BI. Reg BI went into effect on June 20, 2020, and requires all broker/dealers to act in best […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BETSY LOU WHIPPLE (Betsy Whipple), a broker/financial advisor with Newbridge Securities Corporation of Hiko, Nevada, has had three “Customer Disputes” listed on her FINRA CRD report. Whipple has been registered with Newbridge Securities Corporation in Hiko, Nevada since March of 2018. She has been […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ANTHONY TRICARICO, formerly with Aegis Capital Corp. of New York, NY, has been subject to 3 “Customer Disputes” and three “Regulatory” issues.  Tricarico has been in the securities industry for 37 years and was listed as a broker with 12 firms. He was with […]

The Financial Industry Regulatory Authority (FINRA) has barred ROBERT EARL TURNER JR (ROBERT E TURNER JR), a former broker/financial advisor from UBS FINANCIAL SERVICES, INC., of Waco, Texas. According to a recent article in Financial Advisor IQ, Turner allegedly convinced at least 30 clients to invest a total of more than $7.2 million in private […]

In a recent article from the Wausau Pilot & Review, ANTHONY BAKER LIDDLE (ANTHONY B LIDDLE, TONY LIDDLE), a former Wisconsin broker/investment advisor, was charged by the US Department of Justice with defrauding clients out of approximately $1.9 million.  Liddle is facing federal prison, after criminal charges were filed against him last week. One day […]