July 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…
read moreAugust18, 2015, Glenn Allen Moffitt, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…
read moreApril 2018 Update-Berger pleads guilty to fraud. July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…
read moreJuly 27, 2015- Boca Raton, Florida The FBI announced today the indictment of eight individuals for participating in securities fraud involving Thought Development Inc., a Miami Beach based company claiming…
read moreAugust 10, 2015-Darlington, South Carolina The South Carolina Office of the Attorney General, Securities Division is hosting a public investor education seminar at noon, Wednesday, August 19th, 2015. Topics to…
read moreJuly 13, 2015-Scottsdale, AZ John Anthony Waszolek entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…
read moreJune 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…
read moreJuly 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager, filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…
read moreJune 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…
read moreJune 15, 2015 The U.S. Securities and Exchange Commission Office of Investor Education issued an Investor Alert pointing out the Five Red Flags of Investment Fraud: Promises of High Returns…
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