FBI, SEC and FINRA Investigating Tommy Belesis’ Firm, John Thomas Financial
In an article, Feb. 7, 2013, in the New York Post, it was reported that (broker-dealer owner), Anastasios “Tommy” Belesis' [...]
In an article, Feb. 7, 2013, in the New York Post, it was reported that (broker-dealer owner), Anastasios “Tommy” Belesis' [...]
Those investors who believed they had constructed a “conservative” portfolio by being heavily invested in bonds could be reclassified as [...]
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Kenneth Andrew Mauchin (CRD #2366345, [...]
The Securities and Exchange Commission, also known as the 'SEC,' has filed 734 enforcement actions the fiscal year that ended [...]
Soeide Law Group is currently investigating broker, Bambi I. Holzer, CRD #1088028. Ms. Holzer is currently a registered representative with [...]
The Securities and Exchange Commission (SEC) recently announced that it has obtained an emergency court order to freeze the assets [...]
The following are statistics compiled by FINRA, the Financial Industry Regulatory Authority, posted recently to their website. The statistics show [...]
FINRA, the Financial Industry Regulatory Authority announced that it has added features to BrokerCheck to help users more easily access [...]
The Securities and Exchange Commission alleged three former brokers at JP Turner & Co. in Atlanta, traded excessively in accounts [...]
It was recently reported that Michael Todd Crosswhite, 42, of Forest, Virginia, a financial adviser, admitted that he stole more than [...]
Thomas Edward Kelly (CRD #1386403, Registered Principal, Johnson City, New York) was barred from association with any FINRA member in [...]
Sean K. Hannon (CRD #4296260, Registered Representative, Cary, North Carolina) has submitted an Offer of Settlement in which [...]
The Securities and Exchange Commission (SEC) announced on May 1, 2012, that they charged UBS Financial Services Inc. of Puerto Rico [...]
The Financial Industry Regulatory Authority Inc., also known as FINRA, plans to raise number of user fees it charges broker-dealers to [...]
FLORIDA INVESTORS, KNOW YOUR RIGHTS! Do you know that all Florida investors have the right to bring claims against their [...]
The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:” James Landon Yarbrough (CRD #703889, Registered Representative, [...]
The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:” Banc of America Investment Services, Inc. dba [...]
Have you invested in these non-traded real estate investment trusts and funds that have recently seen steep devaluations?Name Offering price Per share [...]
In a March, 2012, article for InvestmentNews.com, Dan Jamieson writes that industry observers are wondering why the Financial Industry Regulatory Authority Inc. [...]
THE FOLLOWING IS AN ARTICLE FROM THE SEC’S WEBSITE: "The Securities and Exchange Commission (SEC) announced that a federal judge in [...]