Dempsey Lord Smith Broker Andrew Lowe Suspended for Unsuitable Short-Term Class A Mutual Fund Invest
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Dempsey Lord Smith financial advisor Andrew...
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Staff Attorney
- Jul 5, 2018
- 2 min
Financial Advisor Michael Spolar Suspended for Discretionary Trades in Customer’s Account
The Financial Industry Regulatory Authority (FINRA) recently announced Michael Patrick Spolar (Spolar) entered into a Letter of...
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Staff Attorney
- Jun 30, 2018
- 2 min
Financial Advisor James Edward Lyons Barred for Failing to Cooperate with FINRA Investigation
Former Raymond James financial advisor, James Edward Lyons (Lyons), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Jun 10, 2018
- 2 min
Investors Can Sue for Churning
What is churning? "Churning" occurs when a financial advisor excessively trades or transacts business in an account typically for the...
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Staff Attorney
- Jun 1, 2018
- 2 min
SA Stone Wealth Management Broker Christopher Wendel Barred for Private Securities Transactions
Christopher Wendel (Wendel), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...
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Staff Attorney
- May 18, 2018
- 2 min
LPL Financial Broker Bradley Everett Gardner Barred for Conversion of Customer Funds
Bradley Everett Gardner (Gardner) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...
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Staff Attorney
- Mar 15, 2018
- 2 min
What is Breach of Fiduciary Duty
Breach of fiduciary duty is one of the most common investor claims against financial advisors (stock brokers) and brokerage firms. At...
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Staff Attorney
- Jan 10, 2018
- 2 min
Improper Asset Allocation is a Common Investor Claim
What is Asset Allocation? Financial advisors have a duty to recommend suitable investment strategies, including a proper asset allocation....
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Staff Attorney
- Jan 2, 2018
- 2 min
Forest Securities Broker David Apted Disciplined for Private Securities Transactions
David Apted (Apted), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA), which...
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Staff Attorney
- Dec 27, 2017
- 2 min
Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Coleman J. Devlin (Devlin) entered into a Letter of Acceptance,...
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Staff Attorney
- Dec 27, 2017
- 2 min
Former LP Broker Terrence Diehl Disciplined for Private Securities Transactions
Terrence Jeffrey Diehl (Diehl), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
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Staff Attorney
- Dec 21, 2017
- 2 min
Legend Securities Broker Marlon Cole Disciplined for Churning and other Misconduct
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Marlon O. Cole (Cole) concerning allegations he...
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Staff Attorney
- Dec 19, 2017
- 2 min
Former Raymond James Broker Robert Scherzer Disciplined for Private Securities Transactions
Robert Jeffrey Scherzer (Scherzer), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
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Staff Attorney
- Dec 18, 2017
- 1 min
Financial Advisor Brittney Sias Barred for Failing to Cooperate with FINRA Investigation
Former Western International financial advisor, Brittney Jade Sias (Sias), recently settled allegations with the Financial Industry...
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Staff Attorney
- Dec 18, 2017
- 2 min
Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Scott Jason Wallach (Wallach) entered into a Letter of Acceptance,...
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Staff Attorney
- Dec 18, 2017
- 2 min
Former Securities America Broker Michael Crowe Disciplined for Private Securities Transactions
In October 2017, Michael A. Crowe (Crowe), a registered representative, settled a complaint with the Financial Industry Regulatory...
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Staff Attorney
- Dec 5, 2017
- 2 min
Financial Advisor Joel Davidman Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Joel David Davidman (Davidman) entered into a Letter of...
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Staff Attorney
- Dec 5, 2017
- 2 min
FINRA Brings Complaint against Ameritas Broker Thomas Lawrence for Personal Loan with Elderly Custom
Update: Without admitting or denying the allegations, Lawrence consented to the sanctions (two year suspension) and to the entry of...
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Staff Attorney
- Dec 4, 2017
- 2 min
Former LPL Financial Broker Roger Zullo Barred for Failing to Cooperate with Fraud Investigation
LPL Financial financial advisor, Roger Salvatore Zullo (Zullo), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Dec 4, 2017
- 2 min
FINRA Brings Complaint against Meyers Associates Broker Craig Langweiler for Potential Financial Mis
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Craig Gary Langweiler (Langweiler) in connection...
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