Your registered financial advisor – and the firm that employs him or her – is regulated by the Financial Industry Regulatory Authority (FINRA). FINRA provides[...]
FINRA
Read More +
UBS broker Howard Stuart Rothman was recently caught lying during a Finra arbitration proceeding. His perjury was acknowledged by the Finra panel in the arbitration[...]
📉 Recovering Investment Losses in Cases Involving Broker/Advisor Misconduct Most people understand that investing money comes with inherent risks. However, investment advisors and brokerage firms[...]
INVESTORS: FINRA censured and fined Colorado-based broker-dealer Geneos Wealth Management for alleged failures in supervising its registered representatives’ recommendations. FINRA censured and fined a Colorado-based[...]
If you’ve suffered significant investment losses as the result of your broker violating FINRA rules, you should speak with a FINRA arbitration lawyer about your[...]
If you’ve suffered significant losses in your investment accounts you might be wondering whether you can sue your financial advisor to recover your losses. Can[...]
Brian Lawrence Stephan (CRD#: 4222796) is a registered broker based in Xenia, Ohio. Since December of 2017, Mr. Stephan has been employed at American Wealth[...]
Lloyd Thomas Layton (CRD#: 1618414) is a registered broker and investment advisor. Since 2015, Mr. Layton has been employed at Wells Fargo Clearing Services in[...]
In July, Edward Jones (CRD#: 250), a large brokerage firm based in St. Louis, MO, fired two of its brokers following allegations of elder financial[...]
Recently, two former UBS Financial Services brokers, Alex Herrera (CRD#: 3204779) and John Maccoll (CRD#: 839441), have been barred by FINRA. Mr. Herrera, who worked[...]