July 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 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota, consented to the entry of an Order Instituting Administrative and…
read moreJune 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated…
read moreJune 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…
read moreJune 23, 2015 Michael G. Seidel entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted falsified applications…
read moreUPDATE JUNE 2017– FINRA Case 15-2763, which was filed against Dirk Rabenold by a customer of NEXT Financial Group customer alleged that Rabenold recommended an unsuitable investment and sought damages of…
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…
read moreJune 22, 2015 Tyler Powell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he exercised discretion in a…
read moreFebruary 2019-Carmichael, CA Dean M. Yurica entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents related…
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