April 18, 2019

Former Benjamin & Jerold financial advisor, Juergen Weber (Weber), recently settled allegations with the Financial Industry Regulatory Authority (FINRA) following an enforcement action.  FINRA investigated Weber’s alleged unsuitable investment recommendations and executed unauthorized trades in a customer account.  As a consequence of Weber’s failu...

December 7, 2018

The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Wells Fargo financial advisor Richard S. Hughes (Hughes).  The underlying basis of the complaint alleged Hughes’ recommended unsuitable short-term unit investment trusts (UITs) to one of his senior customers in an effort to earn high commissions.  Layton s...