Archives

2023-11-18: Updated: 2023-11-18 08:46:29 Former New Jersey Wells Fargo broker indicted for theft of customer funds

by Greco & Greco, P.C.

2023-10-17: Updated: 2023-10-17 14:57:12 Maryland/DC Area Transamerica Agent Barred by FINRA

by Greco & Greco, P.C.

2023-10-13: Updated: 2023-10-13 13:48:02 Rockville, Maryland Morgan Stanley Broker Barred by FINRA

by Greco & Greco, P.C.

2023-10-03: Updated: 2023-10-03 11:38:39 Claims against Richmond, Virginia Centaurus Broker John Starke

by Greco & Greco, P.C.

2023-09-28: Updated: 2023-09-28 15:16:50 SEC Orders Sanctions Against New York Investment Adviser for Allegedly Misusing Client Funds

by Greco & Greco, P.C.

2023-09-20: Updated: 2023-09-20 14:39:31 FINRA Disciplinary Action Against LPL Financial LLC Related to Broker Theft

by Greco & Greco, P.C.

2023-09-03: Updated: 2023-09-03 11:40:53 Tennessee Financial Advisor Barred By FINRA

by Greco & Greco, P.C.

2023-08-25: Updated: 2023-08-25 12:02:40 North Carolina Broker Christopher J. Carpenter barred by FINRA

by Greco & Greco, P.C.

2023-06-16: Updated: 2023-06-16 14:49:55 California Broker Chris Kennedy with Multiple Customer Complaints

by Greco & Greco, P.C.

2023-06-12: Updated: 2023-06-12 15:07:19 Scott Jay Matalon Barred by FINRA

by Greco & Greco, P.C.

2023-05-05: Updated: 2023-05-05 15:22:51 NASAA Warns Investors About Single Stock ETFs

by Greco & Greco, P.C.

2023-03-28: Updated: 2023-03-28 15:53:32 California Edward Jones Advisor Suspended for Customer Loans

by Greco & Greco, P.C.

2023-03-10: Updated: 2023-03-10 10:24:16 New Jersey broker Craffy barred by FINRA

by Greco & Greco, P.C.

2023-02-10: Updated: 2023-02-10 14:29:20 Western International Censured and Fined for non-traded REIT sales

by Greco & Greco, P.C.

2023-01-12: Updated: 2023-01-12 14:57:46 Janney Montgomery Scott fined by FINRA for Oil and Gas MLP Concentration

by Greco & Greco, P.C.

2022-11-21: Updated: 2022-11-21 08:34:23 J.P. Morgan Broker Edward Turley Barred from Industry by FINRA

by Greco & Greco, P.C.

2022-08-25: Updated: 2022-09-12 16:03:51 Anthony (Tony) Liddle of Oshkosh Wisconsin Barred by FINRA for Loans from Customers

by Greco & Greco, P.C.

2022-08-16: Updated: 2022-08-16 14:47:14 U.S. SEC Warns Brokers About Sales Contests That Violate Regulation Best Interest

by Greco & Greco, P.C.

2022-06-24: Updated: 2022-06-24 10:10:07 North Carolina Morgan Stanley Broker Accused by SEC of Operating Ponzi Scheme

by Greco & Greco, P.C.

2022-06-17: Updated: 2022-06-17 15:04:54 SEC charges Western International with violations of Regulation Best Interest (BI)

by Greco & Greco, P.C.

2022-06-02: Updated: 2022-06-02 15:27:04 Virginia Securities Broker Barred by FINRA After Loan Investigation

by Greco & Greco, P.C.

2022-06-01: Updated: 2022-06-01 14:26:43 Caution Urged in 401(K) Plan Investments in Cryptocurrencies

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:22 Losses and Attorneys’ Fees Recovered for Northern Virginia Couple

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:22 Stock Loss and Attorney Fees Awarded for Private Placement “Selling Away” Case

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:22 Investment Losses Recovered for Disabled Charlottesville Woman

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:22 First FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Funds

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:23 Recovery of losses incurred in Trust and IRA accounts of Washington, DC retiree as a result of unsuitable investments and stock trading

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:23 Greco & Greco recovers $75,000 Paid out of Disabled Woman’s Account to Alleged Business Venture of Broker

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:23 Registered Rep Awarded Back Commissions Owed from Split Fee Agreement

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:23 Million Dollar Plus Awards

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:23 Greco & Greco Obtains $3.24 Million Arbitration Award

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:24 $2 Million FINRA Award for Greco & Greco Clients

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:24 Greco & Greco Wins Third FINRA Arbitration Award Against UBS of Puerto Rico

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:24 Damages, Punitive Damages, and Costs recovered for retired Mississippi man

by Greco & Greco, P.C.

2022-04-04: Updated: 2023-06-07 19:47:41 Two More Customer Awards Against UBS of Puerto Rico in 2019

by Greco & Greco, P.C.

2022-04-04: Updated: 2022-04-20 12:16:24 Full Damages Awarded for Failure to Make Suitable and Safe Recommendations

by Greco & Greco, P.C.

2022-01-14: Updated: 2022-05-20 16:19:07 AMERIPRISE BROKER JAMES W. DUNN RESIGNS WHILE UNDER REVIEW FOR UNAUTHORIZED TRADING

by Greco & Greco, P.C.

2022-01-07: Updated: 2022-04-20 12:16:25 Greco Law Firm wins FINRA arbitration for UBS Yield Enhancement Strategy (YES)

by Greco & Greco, P.C.

2020-11-24: Updated: 2022-05-20 16:19:38 SEC Charges Firms Regarding Sales of Volatility Linked ETFs

by Greco & Greco, P.C.

2020-09-18: Updated: 2022-04-20 12:16:25 FINRA Discusses Red Flags for Ponzi Scheme Sales in Disciplinary Action against Cadaret Grant

by Greco & Greco, P.C.

2020-08-26: Updated: 2022-05-20 16:13:31 Virginia Morgan Stanley Broker Charged With Stealing Millions

by Greco & Greco, P.C.

2020-08-14: Updated: 2022-05-20 16:20:28 FINRA Fines Suntrust for Leveraged and Inverse ETF Sales

by Greco & Greco, P.C.

2020-08-11: Updated: 2022-05-20 16:19:55 Customers Suffer Losses in UBS Yield Enhancement Strategy

by Greco & Greco, P.C.

2020-08-08: Updated: 2022-04-20 12:16:26 Two More Customer Awards Against UBS of Puerto Rico in 2019

by Greco & Greco, P.C.

2018-03-27: Updated: 2022-04-20 12:16:27 FINRA panel awards five UBS clients $521,000 in damages over Puerto Rican bonds

by Greco & Greco, P.C.

2018-02-26: Updated: 2023-06-07 19:45:56 Greco & Greco Wins Third FINRA Arbitration Award Against UBS of Puerto Rico

by Greco & Greco, P.C.

2017-03-21: Updated: 2022-04-20 12:16:27 Investigation Regarding Terry Trenchard

by Greco & Greco, P.C.

2016-07-22: Updated: 2022-04-20 12:16:27 Prudential Fined for Failure to Supervise Fraudulent Withdrawals From Variable Annuity

by Greco & Greco, P.C.

2016-07-12: Updated: 2022-04-20 12:16:28 Washington DC Investment Advisor Dawn Bennett Barred by SEC

by Greco & Greco, P.C.

2016-05-09: Updated: 2022-05-20 16:25:38 FINRA Award Against UBS of Puerto Rico

by Greco & Greco, P.C.

2016-05-08: Updated: 2022-04-20 12:16:28 Virginia Financial Fraud Task Force

by Greco & Greco, P.C.

2016-05-07: Updated: 2022-05-20 16:20:13 Vienna Virginia Financial Advisor Pleads Guilty to Defrauding Customers

by Greco & Greco, P.C.

2016-05-07: Updated: 2022-05-20 16:18:43 Success of FINRA Arbitration Claims against UBS regarding Puerto Rico Bond Funds

by Greco & Greco, P.C.

2016-05-07: Updated: 2022-04-29 13:36:46 SEC and FINRA fine UBS over Puerto Rico bond funds

by Greco & Greco, P.C.

2016-05-07: Updated: 2022-05-20 16:20:47 Investigation Regarding Randy Watts of Winchester, Virginia

by Greco & Greco, P.C.

2016-05-07: Updated: 2022-04-20 12:16:29 Capitol Securities Censured and Fined for Reverse Convertible Notes and Other Conduct

by Greco & Greco, P.C.

2016-05-07: Updated: 2022-04-20 12:16:30 Virginia Broker Andrew Corbman Suspended by FINRA

by Greco & Greco, P.C.