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2024-09-06: SEC fines securities firms for whistleblower violations
2024-08-16: FINRA’s Latest Guidance on Crypto
2024-07-19: Owensboro, Kentucky Financial Advisor suspended by FINRA
2024-07-18: FINRA Arbitration Award Against Interactive Brokers
2024-05-17: FINRA bars Alexandria, Virginia Wells Fargo advisor
2024-03-29: Roanoke, Virginia Financial Advisor Barred by FINRA
2024-03-29: North Carolina Advisor Barred After Being Fired by Truist
2024-03-08: The SEC fines multiple financial firms for failing to preserve text communications.
2024-03-07: LPL Financial sanctioned by FINRA for BDC supervisory failures
2024-02-23: J.P. Morgan fined for prohibiting harmed customers from contacting the SEC
2024-02-09: Atlanta Investment Adviser Sentenced for Ponzi Scheme
2024-02-08: Los Angeles, California Western International Broker barred for Churning
2023-11-18: Former New Jersey Wells Fargo broker indicted for theft of customer funds
2023-10-17: Maryland/DC Area Transamerica Agent Barred by FINRA
2023-10-13: Rockville, Maryland Morgan Stanley Broker Barred by FINRA
2023-10-03: Claims against Richmond, Virginia Centaurus Broker John Starke
2023-09-28: SEC Orders Sanctions Against New York Investment Adviser for Allegedly Misusing Client Funds
2023-09-20: FINRA Disciplinary Action Against LPL Financial LLC Related to Broker Theft
2023-09-03: Tennessee Financial Advisor Barred By FINRA
2023-08-25: North Carolina Broker Christopher J. Carpenter barred by FINRA
2023-06-16: California Broker Chris Kennedy with Multiple Customer Complaints
2023-06-12: Scott Jay Matalon Barred by FINRA
2023-05-05: NASAA Warns Investors About Single Stock ETFs
2023-03-28: California Edward Jones Advisor Suspended for Customer Loans
2023-03-10: New Jersey broker Craffy barred by FINRA
2023-02-10: Western International Censured and Fined for non-traded REIT sales
2023-01-12: Janney Montgomery Scott fined by FINRA for Oil and Gas MLP Concentration
2022-11-21: J.P. Morgan Broker Edward Turley Barred from Industry by FINRA
2022-08-25: Anthony (Tony) Liddle of Oshkosh Wisconsin Barred by FINRA for Loans from Customers
2022-08-16: U.S. SEC Warns Brokers About Sales Contests That Violate Regulation Best Interest
2022-06-24: North Carolina Morgan Stanley Broker Accused by SEC of Operating Ponzi Scheme
2022-06-17: SEC charges Western International with violations of Regulation Best Interest (BI)
2022-06-02: Virginia Securities Broker Barred by FINRA After Loan Investigation
2022-06-01: Caution Urged in 401(K) Plan Investments in Cryptocurrencies
2022-04-04: Losses and Attorneys’ Fees Recovered for Northern Virginia Couple
2022-04-04: Stock Loss and Attorney Fees Awarded for Private Placement “Selling Away” Case
2022-04-04: Investment Losses Recovered for Disabled Charlottesville Woman
2022-04-04: First FINRA Arbitration Award Against UBS of Puerto Rico Regarding Bond Funds
2022-04-04: Recovery of losses incurred in Trust and IRA accounts of Washington, DC retiree as a result of unsuitable investments and stock trading
2022-04-04: Greco & Greco recovers $75,000 Paid out of Disabled Woman’s Account to Alleged Business Venture of Broker
2022-04-04: Registered Rep Awarded Back Commissions Owed from Split Fee Agreement
2022-04-04: Million Dollar Plus Awards
2022-04-04: Greco & Greco Obtains $3.24 Million Arbitration Award
2022-04-04: $2 Million FINRA Award for Greco & Greco Clients
2022-04-04: Greco & Greco Wins Third FINRA Arbitration Award Against UBS of Puerto Rico
2022-04-04: Damages, Punitive Damages, and Costs recovered for retired Mississippi man
2022-04-04: Two More Customer Awards Against UBS of Puerto Rico in 2019
2022-04-04: Full Damages Awarded for Failure to Make Suitable and Safe Recommendations
2022-01-14: AMERIPRISE BROKER JAMES W. DUNN RESIGNS WHILE UNDER REVIEW FOR UNAUTHORIZED TRADING
2022-01-07: Greco Law Firm wins FINRA arbitration for UBS Yield Enhancement Strategy (YES)
2020-11-24: SEC Charges Firms Regarding Sales of Volatility Linked ETFs
2020-09-18: FINRA Discusses Red Flags for Ponzi Scheme Sales in Disciplinary Action against Cadaret Grant
2020-08-26: Virginia Morgan Stanley Broker Charged With Stealing Millions
2020-08-14: FINRA Fines Suntrust for Leveraged and Inverse ETF Sales
2020-08-11: Customers Suffer Losses in UBS Yield Enhancement Strategy
2020-08-08: Two More Customer Awards Against UBS of Puerto Rico in 2019
2018-03-27: FINRA panel awards five UBS clients $521,000 in damages over Puerto Rican bonds
2018-02-26: Greco & Greco Wins Third FINRA Arbitration Award Against UBS of Puerto Rico
2017-03-21: Investigation Regarding Terry Trenchard
2016-07-22: Prudential Fined for Failure to Supervise Fraudulent Withdrawals From Variable Annuity
2016-07-12: Washington DC Investment Advisor Dawn Bennett Barred by SEC
2016-05-09: FINRA Award Against UBS of Puerto Rico
2016-05-08: Virginia Financial Fraud Task Force
2016-05-07: Vienna Virginia Financial Advisor Pleads Guilty to Defrauding Customers
2016-05-07: Success of FINRA Arbitration Claims against UBS regarding Puerto Rico Bond Funds
2016-05-07: SEC and FINRA fine UBS over Puerto Rico bond funds
2016-05-07: Investigation Regarding Randy Watts of Winchester, Virginia
2016-05-07: Capitol Securities Censured and Fined for Reverse Convertible Notes and Other Conduct
2016-05-07: Virginia Broker Andrew Corbman Suspended by FINRA

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