Cambridge Investment Research Advisors, Inc. financial advisor Ralph W. Savoie of Mandeville, La., has been banned from the securities industry after failing to provide documents and information relating…

Sterne Agee Financial Services, Inc. consented to a public censure and FINRA fine of $25,000 relating to FINRA’s claims that Sterne Agee failed to enforce certain written supervisory…

VSR Financial Services, Inc. investment advisor Dennis Van Patter has agreed to a $10,000 fine and a 45-day suspension from the industry relating to a complaint that he…

A FINRA Panel awarded customer Freddy Holcomb over $37,000 relating to allegations that his former financial adviser, Michael Lynn Fortner with LPL Financial LLC (“LPL”), mishandled Holcomb’s investments.…

Former VSR Financial Services, Inc. Financial Advisor John Howard Towers has been the subject of over 25 recent customer complaints (more…)

Fishman Haygood Partner Lance McCardle was a presenter at the 2015 PIABA Annual Meeting held October 20-24, 2015 in Jacksonville, Florida. (more…)