Michael Milad Tanha (Tanha), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA) that alleged he partic...

Anselmo Contreras, Jr. (Contreras) accepted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure to se...

The Financial Industry Regulatory Authority (FINRA) recently announced Steven Elliot Zerbarini (Zerbarini) entered into a Letter of Acceptance, Waiver and Co...

James Bradley Schwartz (Schwartz), recently faced a department of enforcement action in connection with allegations he churned (i.e. excessively traded) four...

Former LPL Financial financial advisor, James C. Bylenga (Bylenga), recently settled allegations with the Financial Industry Regulatory Authority (FINRA) fol...

Former David A. Noyes & Company financial advisor, Sam Aziz (Aziz), recently settled allegations with the Financial Industry Regulatory Authority (FINRA) fol...

The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Corey Lee Mireau (Mireau) (FINRA No. 2017...

The Financial Industry Regulatory Authority (FINRA) recently announced James B. Eichner, Jr. (Eichner) entered into a Letter of Acceptance, Waiver and Consen...

Former Mutual of Omaha Investor Services, Inc. financial advisor, Edward Earl Mattes (Mattes), recently settled allegations with the Financial Industry Regul...

All financial advisors and brokerage firms have a fundamental responsibility to deal fairly with their clients, including communicating with a client prior t...

Suitability Analysis Financial advisors have a duty to their clients to recommend suitable investments and investment strategies. There are three primary cr...

What is "Selling Away"? "Selling away" refers to the inappropriate and unethical practice in the financial industry where a financial advisor buys, sells, or...

What is Securities Fraud? Securities fraud is any deceptive act relating to the purchase, sale or manipulation of securities. Securities fraud can be commit...

Breach of fiduciary duty is one of the most common investor claims against financial advisors (stock brokers) and brokerage firms. At the same time, breach ...

What is Asset Allocation? Financial advisors have a duty to recommend suitable investment strategies, including a proper asset allocation. Asset allocation ...