In a February 17th., 2012, article for InvestmentNews.com, Bruce Kelly writes that a broker formally affiliated with Morgan Stanley Smith Barney LLC, Berthel Fisher & Co. Financial Services Inc. and LPL Financial LLC was arrested in Oregon this month for allegedly stealing $584,000 from three investors. The now ex-broker, James Scott McKee, was charged Feb. 9 […]

WASHINGTON – On FINRA's website, August, 10, 2011, The Financial Industry Regulatory Authority (FINRA) announced that it has fined Citigroup Global Markets, Inc. $500,000 for failing to supervise Tamara Moon, a former registered sales assistant at the firm's branch office in Palo Alto, California. Over an 8 year period, Moon misappropriated $749,978 from 22 customers, falsified […]