January 19, 2016-El Paso, Texas A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered stock brokerage firm EDI Financial, Inc. to pay a customer $273,606 in damages and attorney fees.…
read moreUPDATE-September 2016– SII Investments was found liable for negligence, unsuitability and breach of fiduciary duty and ordered to pay damages in the amount of $19,634 plus interest in FINRA Case…
read morePlano, Texas Rex Securities Law is investigating VSR Financial Services broker M. F. (Mickey) Long in connection with the sale of fixed annuities, limited partnerships, direct investments in oil & gas, and real estate securities.…
read moreChesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle in connection with the sale of fixed annuities, mutual funds, equities, limited partnerships, direct investments in oil & gas, and…
read moreUPDATE SEPTEMBER 2016– Former NEXT Financial Group stockbroker, Tye Williams barred from the securities industry for failing to cooperate with regulatory investigation alleging theft of $1M. See this for more details. …
read moreApril 1, 2016- Toms River, New Jersey FINRA records report that NEXT Financial Group stockbroker George W. Cole has been named in a customer complaint alleging that advice given by Cole…
read moreApril 1, 2016-Snohomish, WA In 2013 Brian Brunhaver, a former stock broker with LPL Financial, was sanctioned the Washington State Securities regulators for the sale of non publicly traded real…
read moreBoston, MA In December 2015, a FINRA arbitration panel awarded a former customer of Morgan Stanley Smith Barney Broker Justin Amaral over $1 million, which included over $500,000 in punitive…
read moreNovember 2019 Update The FINRA records of Alan Z. Appelbaum , a stockbroker who was last employed by Aegis Capital , disclose 3 regulatory events, 4 pending customer disputes and 9 prior customer disputes. The…
read moreSeptember 2019 FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment. FINRA…
read more