Earlier this year, the Financial Industry Regulatory Authority (FINRA) announced that it barred former Taylor Capital Management broker, Dennis Farrah. FINRA barred Farrah after he refused to provide information requested...
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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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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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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…
