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Feb 20
0
stock Broker fraud Alert - Fishman Haygood New Orleans

FINRA Charges Timothy Tilton Ayre with Securities Fraud Related to Cannabis-focused Cryptocurrency

By Loren Graham | Uncategorized
In September 2018, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Timothy Tilton Ayre, charging him with securities fraud and the illegal distribution of an unregistered cryptocurrency, according...
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Feb 13
0

FINRA Bars UBS Broker, Alex Gerardo Herrera, Accused of Stealing Funds, Selling Away

By Loren Graham | Uncategorized
The Financial Industry Regulatory Authority (FINRA) recently announced that it barred former UBS Financial Services broker, Alex Gerardo Herrera. FINRA barred Herrera, who was employed in the Miami office of...
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Jan 23
0
stock Broker fraud Alert - Fishman Haygood New Orleans

Former Ameritas Broker James A. Mayfield, III Subject to Complaint Related to Sale of Variable Annuity

By Stefan Ristic | Uncategorized
James A. Mayfield, III, a former broker with Ameritas Investment Corp. and Pruco Securities, LLC, is the subject of a customer complaint relating to the sale of a variable annuity....
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Jan 09
0
stock Broker fraud Alert - Fishman Haygood New Orleans

Former Wells Fargo Advisor, John Schmidt, Accused By SEC of Stealing Funds from Elderly Retirees

By Loren Graham | Uncategorized
According to the Financial Industry Regulatory Authority (FINRA), former Wells Fargo Advisors Financial Network, LLC advisor, John Schmidt, has been accused by the U.S. Security and Exchange Commission (SEC) of...
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Dec 26
0
stock Broker fraud Alert - Fishman Haygood New Orleans

SEC Charges Robert Shapiro in Woodbridge Ponzi Scheme

By Loren Graham | Uncategorized

The SEC has alleged that Woodbridge Group of Companies and its affiliates and their owner, Robert H. Shapiro (“Shapiro”), operated a $1.2 billion Ponzi scheme that robbed thousands of investors of their…

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Dec 19
0

Two Former HD Vest Investment Brokers, Jerry Davis Raines and Donna Lynn Barnard, Barred by FINRA for Not Cooperating in Alleged Ponzi Scheme Investigation

By Loren Graham | Fraud
In August 2018, former HD Vest Investment Services brokers Jerry Davis Raines and Donna Lynn Barnard consented to a sanction from the Financial Industry Regulatory Authority (FINRA) in which they...
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