Staff AttorneyJun 27, 20192 minFormer Cambridge Broker Anselmo Contreras Barred for Stealing Funds From CustomersAnselmo Contreras, Jr. (Contreras) accepted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...
Staff AttorneyJun 21, 20192 minFormer Aegis Financial Advisor James Bradley Schwartz Suspended for Churning (Excessive Trading) andJames Bradley Schwartz (Schwartz), recently faced a department of enforcement action in connection with allegations he churned (i.e....
Staff AttorneyApr 19, 20192 minFinancial Advisor Edward Earl Mattes Barred for Stealing Funds from Multiple ClientsFormer Mutual of Omaha Investor Services, Inc. financial advisor, Edward Earl Mattes (Mattes), recently settled allegations with the...
Staff AttorneyDec 10, 20182 minUnauthorized Trading ClaimsAll financial advisors and brokerage firms have a fundamental responsibility to deal fairly with their clients, including communicating...