The Financial Industry Regulatory Authority recently barred ex-Securities America broker William Dixon relating to allegations he signed a dead client’s name. According to the FINRA Letter of Acceptance,…
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An arbitration panel recently ordered UBS Financial Services to pay almost $4.8 million to two individuals and a holding company stemming from the sale of Puerto Rican bonds…
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Matthew O. Clason, a former investment advisor and registered representative, recently pleaded guilty to stealing over $600,000 from one of his elderly clients. Clason previously worked at Lincoln…
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The Federal Trade Commission (“FTC”) issued a recent warning about the dangers of romance scams on dating sites and apps in conjunction with Older Americans Month. According to…
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The Securities and Exchange Commission has charged investment adviser Knight Nguyen Investments (“KNI”) and three individuals for their roles in an alleged scheme to invest clients’ funds in…
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A federal grand jury in Miami has indicted Larry Ramos Mendoza in connection with a $21 million fraud. According to a news release from the Department of Justice,…
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