Former Waddell & Reed advisers Michael Rasmovich and Carlos Benavidez (who operated under the RBR Group) have accepted a suspension and fine from FINRA relating to allegations that…
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Lee Robert Sobel, formerly a broker with Equinox Securities, Inc., has been barred from the securities industry by FINRA for failing to appear and provide sworn testimony in…
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Lincoln Financial Advisors Corp, headquartered in Fort Wayne, Indiana, agreed to a censure and $90,000 fine by FINRA relating to allegations that it failed to adequately supervise a…
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Former J.P. Morgan Securities, LLC investment adviser William W. Brown has accepted a suspension and fine from FINRA relating to allegations that he executed unauthorized trades in a…
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FINRA has filed a disciplinary complaint against investment adviser J. Randall Gladden of Securities Equity Group (“SEG”) stemming from allegations that he failed to inform SEG about his…
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Fidelity Brokerage Services, LLC will pay over $1 million relating to allegations that its lax supervisory measures failed to protect elderly clients from a woman posing as a…
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