A recent New York Times article shined the spotlight on another sad tale of a stockbroker who mishandled his clients’ accounts. According to the article, stockbroker Jerry A.…
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FINRA has ordered LPL Financial, LLC (“LPL”) to pay a $10 million fine and pay approximately $1.7 million in restitution to certain customers who purchased non-traditional exchanged-traded funds…
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A federal district court sentenced James R. Holdman of Zachary, Louisiana, to 60 months in jail for mail fraud relating to a $7.9 million investment fraud scheme. The…
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Former VSR Financial Services, Inc. financial advisor Steven Stahler has been fined and suspended by FINRA. According to the FINRA Complaint filed August 27, 2014, Stahler made unsuitable…
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On March 4, 2014, a team of Fishman Haygood attorneys led by Lance C. McCardle obtained a $1.588 million FINRA arbitration award on behalf of two elderly investors…
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VSR Financial Services, Inc. agreed to a $550,000 fine from FINRA to settle allegations that it failed to adequately supervise its brokers relating to the sale of alternative…
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