Ralph Savoie, former advisor for ING Financial Partners and Cambridge Investment Research Advisors, has been sued by multiple customers relating to his sales of the Green Cooling Tower Investment…
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A Finra arbitration panel ordered Frederick Baerenz, CEO of AOG Wealth Management, to pay damages of $331,000 for unsuitable trading. According to an Investment News article, Baerenz placed…
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While a broker for Janney Montgomery Scott LLC and Investors Capital Corp., Patricia Miller orchestrated a Ponzi scheme placing client funds in various "investment clubs." Per the Criminal…
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Merrill Lynch agreed to pay $10 Million to settle charges levied by the Securities and Exchange Commission ("SEC"), as detailed in a recent SEC release. The release indicates…
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In a Securities and Exchange Commission default judgment, Dawn J. Bennett was barred from the financial services industry and fined $4 Million. Bennett, claiming that the SEC administrative…
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FINRA’s Office of Hearing Officers recently obtained a default decision against David Cannata, a former broker of Brookstone Securities and Craig Scott Capital, barring him from associating with…
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