top of page
Search
Staff Attorney
Jul 28, 20182 min read
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...
2 views0 comments
Staff Attorney
Jul 5, 20182 min read
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...
1 view0 comments
Staff Attorney
Jun 30, 20182 min read
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...
1 view0 comments
Staff Attorney
Jun 10, 20182 min read
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...
4 views0 comments
Staff Attorney
Jun 1, 20182 min read
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),...
1 view0 comments
Staff Attorney
May 18, 20182 min read
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...
1 view0 comments
Staff Attorney
Mar 15, 20182 min read
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...
1 view0 comments
Staff Attorney
Jan 10, 20182 min read
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....
3 views0 comments
Staff Attorney
Jan 2, 20182 min read
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...
5 views0 comments
Staff Attorney
Dec 27, 20172 min read
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,...
6 views0 comments
Staff Attorney
Dec 27, 20172 min read
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...
4 views0 comments
Staff Attorney
Dec 21, 20172 min read
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...
4 views0 comments
Staff Attorney
Dec 19, 20172 min read
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...
3 views0 comments
Staff Attorney
Dec 18, 20171 min read
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...
1 view0 comments
Staff Attorney
Dec 18, 20172 min read
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,...
7 views0 comments
Staff Attorney
Dec 18, 20172 min read
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...
1 view0 comments
Staff Attorney
Dec 5, 20172 min read
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...
13 views0 comments
Staff Attorney
Dec 5, 20172 min read
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...
1 view0 comments
Staff Attorney
Dec 4, 20172 min read
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...
1 view0 comments
Staff Attorney
Dec 4, 20172 min read
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...
4 views0 comments
bottom of page