FINRA recently sanctioned Aegis Capital Corp. (“Aegis”), ordering the company to pay approximately $2.8 million relating to allegations of excessive and/or unsuitable trades in customer accounts. Aegis was…
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Fishman Haygood Partner Lance McCardle was named Lawyer of the Year by The Best Lawyers in America® (2022). Lance McCardle was recognized in the area of Litigation: Securities. Lance practices…
G1 Execution Services LLC (“G1”) recently agreed to a censure and $575,000 fine by the Financial Industry Regulatory Authority (“FINRA”) relating to failure to use best executive practices…
Margin debt has hit a record high of $822 billion, according to a recent FINRA report. Margin debt continues its climb in 2021, going from $798 billion in…
Per a default decision in Disciplinary Proceeding #2012033286901, Stuart Dickinson was barred from any association with a FINRA member in any capacity for selling securities without reasonable grounds…
Tom Parks was an Ameriprise Financial Services broker from 1993 till he was terminated in April of 2016. He was terminated following multiple customer complaints for unsuitability in…
