Amid the COVID-19 Pandemic, Stock Markets Resemble 2008 Financial Crisis As the Coronavirus (COVID-19) sweeps the globe, so did one…
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Should you bring a claim against your stockbroker, banker, or other financial professional? Jeffrey Alan Eiler (CRD#: 1028716) is a…
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Broker Kevin C. Doyle Also Faces New Allegations of Excessive Trading The Financial Industry Regulatory Authority (FINRA) regulates brokers and…
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Despite Settlement Ending Criminal and Civil Investigations, Company Continues to Face Legal Issues Banking giant, Wells Fargo agreed to a…
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FINRA Hits Oppenheimer with $800k Fine and Requires Firm to Make Restitution On December 30, 2019, the Financial Industry Regulatory…
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Citigroup, J.P. Morgan, LPL Financial, Morgan Stanley and Merrill Lynch All Fined in FINRA Crackdown In a News Release issued…
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FINRA and Others Issue Censure Against Credit Suisse for Multiple Violations According to a News Release issued by the Financial…
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How Investors Were Misled Into Believing the UBS Strategy Would Yield Low-Risk Returns The UBS Yield Enhancement Strategy (YES) was…
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Wyshak, a Previously Registered Broker, Now Faces Several Customer Complaints John Charles Wyshak, (CRD#: 1272260) is facing multiple customer disputes…
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Levin Law is Investigating Merrill Lynch Broker Peter Huffman After a Customer Complaint Alleging Unsuitable Recommendations and Misrepresentations Peter Huffman…
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Cetera Advisors Accused Of Receiving $21 Million In Unlawful Gains The Securities and Exchange Commission (SEC) has filed an Amended…
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Craig Siegel Suspended for Failing to Respond to Regulatory Agency The Financial Industry Regulatory Authority (FINRA) suspended against Former Broker…
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Investors Allege Broker Defrauded Them Out of Millions On July 1, 2019, the Financial Industry Regulatory Authority (FINRA) issued a…
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CYES Options Trading Strategy Far From Safe Bet for Some Investors Clients of some of the largest financial firms in…
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Financial Firm Agrees to Sanction for Failure to Establish and Maintain Supervisory System According to a Letter of Acceptance, Waiver…
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FINRA Censures and Fines Financial Firm For Failing to Supervise Agent According to the Financial Industry Regulatory Agency (FINRA), Newbridge…
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Andrew Pearse Charged in $2 Billion Mozambique Investment Fraud Scandal Multiple former bankers with Credit Suisse have been charged with…
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Harvest Collateral Yield Enhancement Strategy (CYES) Fails to Deliver Harvest Volatility Management (“HVM”), founded in 2008 offers active, risk-managed investing…
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Flatter Yield Curve Results in Significant Losses For Some Investors Investors are seeking recovery for losses sustained in leveraged steepener…
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The Securities and Exchange Commission announced Wedbush Securities, a Los Angeles based broker-dealer, is being fined over $8 million to…
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Broker Under Scrutiny for Allegedly Receiving Misappropriated Funds According to FINRA BrokerCheck, stockbroker Christopher Michael Zelesnick (CRD#: 1257500) has a pending…
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Wells Fargo Business Partners Barred After Making Unsuitable Recommendations in High-Risk Energy Sector Charles Henry Frieda (CRD#: 5502319) was barred…
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The Financial Industry Regulatory Authority (FINRA) handles disciplinary actions against registered brokers and brokerage firms. Investors can stay informed with…
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GPB Capital Holdings, LLC (“GPB”) just delivered a significant blow to investors, marking down the value of various GPB Capital…
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The job of a stockbroker, also known as a financial advisor, wealth manager, investment advisor, or private banker, is to…
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UBS Financial Services is a multinational financial services firm that is involved in virtually all major financial activities from retail…
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