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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
