FINRA Complaint Filed Against John W. Cutshall Harold Connell of CP Capital Securities Barred and Expelled by FINRA Richard Foster Fined and Suspended for Six Months Eckstein Named as Respondent in FINRA Complaint LaMarre Fined and Suspended for Unsuitable Recommendations OHO Issues Decision Regarding David O. Braeger Complaint Filed Against Meyers Associates and Two of It’s Brokers Jay Jordan Barred From FINRA Scott Sibley Barred From FINRA Cecil Ernest Nivens Named in FINRA Complaint Ultralat Capital Markets, Inc. Censured and Fined by FINRA Alejandro Falla (Miami, Florida) Barred From Acting as Broker and Associating with Any FINRA Member in Any Capacity LPL Financial Fraught with Allegations of Supervisory Failures Total Wealth Management Sanctions Kickbacks U.S. Attorney’s Office Files Parallel Action in Response to Previous CFTC Fraud Charges Judge Orders Attorney to Pay Nearly $4 Million in Prime Bank Investment Scheme Florida Transfer Agent Charged by SEC with Defrauding Investors Goldman Sachs Group, Inc. to Face Judge in September Oppenheimer Advisor Targets Elderly Widow FINRA Questioning Brokerage Firm “Culture” Barred Investment Advisor Swindles Clients for Nearly $9 Million UBS Continues to Face Controversy Over Puerto Rico Muni Bonds Rafferty Capital Markets Enables Unregistered Firm to Engage in Illegal Trades Private Fund Manager Charged by SEC for Theft of Investor Funds FINRA Castigates Prodigious Morgan Stanley Smith Barney for Supervisory Failures Feds, SEC Tag Qualcomm Managers for Insider Trading Barred Stock Broker Dupes Investors in Florida Real Estate Deal SEC Landmark Non-prosecution Deal in Insider Trading Racket Widespread “Expert Networks” Investigation by SEC Snags Dozens for Insider Trading SEC and Homeland Security Squash TelexFree Pyramid Scheme Transamerica Financial Advisors Breakpoint Discounts? Nor for Everyone Defunct Direct Access Partners Scuttled by Shady Practices IT Giant Hewlett-Packard Charged with FCPA Violations FINRA Fines LPL Financial Nearly $1,000,000 for Supervisory Short-Falls Florida-based YouTube Ponzi Scam Draws Attention of SEC, Criminal Authorities Bitcoin Continues to Be of Concern to Regulatory Authorities Two Guys Walked into a Bar: Investment Broker, Law Clerk, and “Middleman” Bilk $5.6 Million Through Insider Trading Puerto Rico Municipal Bonds: Not Just Another Muni UBS Puerto Rico, Executives Shill Investors International Pyramid Scheme Gouges Investors Through Use of Social Media Berthel Fisher and Affiliate, Securities Management & Research, Fined $775,000 Global Conglomerate, Credit Suisse Group AG, Fined for SEC Violations AML Violations Lead to Historic Penalty for Brown Brothers Harriman SEC Takes Action to Minimize Microcap Fraud: Targets Hundreds of Shell Companies Know Your Stock Attorney Legg Mason Affiliate Charged with Defrauding Clients SEC’s Risk Alert Regarding Alternative Investments Due Diligence KPMG Violates Directives Regarding Auditor Independence FINRA Investor Alert February 2012 FINRA Florida Disciplinary Actions January 2012 FINRA Florida Disciplinary Actions FINRA Issued Investor Alert on Public Non-Traded REITs SEC Implements Whistleblower Award Program FTC Shuts Down American Precious Metals, LLC, a Precious Metals Boiler Room Based out of Deerfield Beach, Florida that Preyed on Seniors SEC Charges Subprime Auto Loan Lender and Executives With Fraud SEC Shuts Down Multiple Chinese Companies Listed on U.S. Stock Exchanges and Investigates Their Practices Regulators Continue Efforts to Rein in New Ponzi Schemes The Lehman Bankruptcy – Everyone is Getting Paid But the Victims FINRA Fines H&R Block Financial Advisors for Inadequate Supervision of Reverse Convertible Notes Sales and Issues Guidelines for the Sale of These Products
Contact Us
  1. 1 Nationally Recognized Firm
  2. 2 Millions Recovered
  3. 3 We Represent Investors Worldwide

Fill out the contact form or call us at 877-786-2552 or 954-255-8181 to schedule your consultation.