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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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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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…
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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According to the Financial Industry Regulatory Authority (FINRA), Andrew Raymond Scheirer, II, a financial advisor at Kovack Securities (and previously at First Allied Securities) in Lake Mary, Florida has been...
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The Financial Industry Regulatory Authority, or FINRA, regulates the securities industry by focusing on investor protection and ensuring market integrity. In October 2018, FINRA barred former Centaurus Financial, Inc. advisor...
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