top of page
Search
Former Cambridge Broker Anselmo Contreras Barred for Stealing Funds From Customers
Anselmo Contreras, Jr. (Contreras) accepted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...
Staff Attorney
Jun 27, 20192 min read
28 views
0 comments
Former Aegis Financial Advisor James Bradley Schwartz Suspended for Churning (Excessive Trading) and
James Bradley Schwartz (Schwartz), recently faced a department of enforcement action in connection with allegations he churned (i.e....
Staff Attorney
Jun 21, 20192 min read
5 views
0 comments
Financial Advisor Edward Earl Mattes Barred for Stealing Funds from Multiple Clients
Former Mutual of Omaha Investor Services, Inc. financial advisor, Edward Earl Mattes (Mattes), recently settled allegations with the...
Staff Attorney
Apr 19, 20192 min read
5 views
0 comments
Unauthorized Trading Claims
All financial advisors and brokerage firms have a fundamental responsibility to deal fairly with their clients, including communicating...
Staff Attorney
Dec 10, 20182 min read
4 views
0 comments
Robert Russel Tweed Barred from the Financial Industry for Negligent Misrepresentations
The Financial Industry Regulatory Authority’s (FINRA) Department of Enforcement filed a complaint against former financial advisor,...
Staff Attorney
Oct 2, 20182 min read
2 views
0 comments
What is Investment Fraud
What is Securities Fraud? Securities fraud is any deceptive act relating to the purchase, sale or manipulation of securities. Securities...
Staff Attorney
Aug 4, 20181 min read
3 views
0 comments
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...
Staff Attorney
Dec 4, 20172 min read
1 view
0 comments
bottom of page