August 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…
read moreAugust 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…
read moreLos Angeles, CA-July 2017 A Financial Industry Regulatory Authority (FINRA) arbitration panel comprised of three public arbitrators ordered Wedbush Securities to pay two former customers (husband and wife) compensatory damages…
read moreHouston, Texas – July 2017 According to a press release from the US Attorney’s Office for the Southern District of Texas, a second superseding indictment has been issued by a…
read moreThe Arizona Republic reports that Texan Stephen J. Hatch, 68, pleaded guilty to felony fraud and was sentenced to five years for operating a $70 million Ponzi scheme that targeted…
read moreMay 16, 2017-Williston, VT The New England Federal Credit Union is holding a seminar on Elder Financial Exploitation on Thursday, May 18th, at their main branch located at 141 Harvest…
read moreJune 2021-Coral Springs, FL The FINRA records of Todd F. Sherman , a stockbroker who was last registered with Fusion Analytics Securities disclose a regulatory matter resulting in suspension. The Financial Industry…
read moreApril 2017- Simi Valley, CA The FINRA records of Steven H. Murphy, a stockbroker who is currently employed by Summit Brokerage Services and was previously employed by VSR Financial Services, disclose a pending customer dispute and…
read moreApril 2017- Washington, DC The U. S. Securities and Exchange Commission issued an Investor Alert warning that articles on an investment research website appearing to be an unbiased source of…
read moreApril 2017- Melville, New York The FINRA records of Ian Greenblatt (aka Eric Green ) , a stockbroker who is employed by Capitol Securities Management disclose 3 prior final customer disputes. The Financial Industry Regulatory…
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