A Milton, Massachusetts broker, Arnett Waters, pleaded guilty to 16 counts of securities fraud, mail fraud, money laundering and obstruction [...]
The following information has been obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Bruce Martin Harada [...]
On August 27, 2013, in the U.S. District Court in Tulsa, Oklahoma, the Securities and Exchange Commission (SEC) brought securities [...]
Jonathan "Jay" Warren Brooks, of Aiken, South Carolina, was arrested on one count of securities fraud on Friday, July, 19th., [...]
Benjamin Chouchane, (CRD# 4590169) a former broker for LinkBrokers Derivatives Corp., a unit of London-based ICAP Plc (IAP), pleaded guilty [...]
Michael Mendenhall (CRD #496391) a former broker with Colorado Financial Service Corporation and UVest Financial Services Group, Inc., was convicted [...]
The following is a summary of information that appeared on FINRA's website: Arete Wealth Management, LLC (CRD #44856, Schaumburg, Illinois) [...]
Crystallex has commenced a proceeding under chapter 15 of the United States Bankruptcy Code in the United States Bankruptcy Court [...]
The Financial Industry Regulatory Authority Inc., also known as FINRA, is proposing to tighten its definition of “public” arbitrator. FINRA [...]
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” David Scott Isolano (CRD #2504880, [...]
The Securities and Exchange Commission, also known as the 'SEC,' has filed 734 enforcement actions the fiscal year that ended [...]
Soreide Law Group is currently investigating the Wells Timberland REIT for the investors who suffered financial losses. FINRA, the Financial [...]
Securities Lawyer, Lars Soreide, of Soreide Law Group, is currently investigating Gramercy Securities, Inc. This brokerage has been alleged to [...]
Jason T. Knapp, Corinth, New York, was arrested in connection with a nationwide Ponzi scheme, which allegedly involves hundreds of [...]
Recently, Morgan Keegan entered into a settlement with FINRA for conduct surrounding non traditional etfs sold to retail customers. The [...]
FINRA, the Financial Industry Regulatory Authority, has eased up on a controversial interpretation of its new suitability rule in a [...]
The Securities and Exchange Commission (SEC) announced that it obtained an emergency court order to halt an alleged Ponzi-like scheme [...]
The Securities and Exchange Commission (SEC) recently announced that it has obtained an emergency court order to freeze the assets [...]
Securitites Lawyer, Lars Soreide, has announced an investigation into Praetorian Global Fund (Praetorian). There was an SEC complaint filed against [...]
The following are statistics compiled by FINRA, the Financial Industry Regulatory Authority, posted recently to their website. The statistics show [...]
