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Posts Tagged FINRA lawyer

Senator to SEC: Strengthen Stockbroker Fraud Rules

Following a recent expose in the Wall Street Journal, Massachusetts Senator Edward Markey called on the Securities & Exchange Commission to strengthen FINRA’s ability to fight stockbroker fraud. (FINRA is the Financial Industry Regulatory Authority, a self regulatory organization that derives its enforcement powers from the SEC.) The Journal reported that over 5000 stockbrokers are [...]

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Massachusetts Targets REITs… Again

We have written many posts about REITs – Real Estate Investment Trusts. They can be great investments but many have liquidity problems. Stockbrokers often recommend them to the wrong customers as well. In May, Massachusetts Secretary of State William Gavin announced that five brokerage firms had agreed to pay restitution of $6.1 million to settle [...]

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Lincoln Financial Advisors Rep Sanctioned By FINRA

Lincoln Financial Advisors says it wants to be the country’s “premier fee-based financial planning firm.” A recent decision by the Financial Industry Regulatory Authority’s (FINRA) Enforcement Department suggests that the firm is off to a rocky start. FINRA sanctioned  former registered rep and investment advisor William Babb III with “trading away” and failure to cooperate [...]

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Securities America Fined For Improper Supervision – Stockbroker Fraud Post

Securities America is a large broker dealer headquartered in La Vista Nebraska. Licensed in all 50 states and in business for over 3 decades, the firm is well established in the industry. Lately, however, it has attracted some negative attention for its business practices. Some say the company has allowed or ignored fraud by some [...]

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LPL Broker Charged With Securities Fraud

Less than 24 hours ago we wrote a story about securities fraud and the need for brokerage firms to protect clients against advisers who rip off clients by “selling away.”  Today the SEC announced it charged a former LPL stockbroker, Blake Richards, with securities fraud after accusing him of stealing $2 million in client funds. [...]

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Hooters Girls and Investment Fraud

The story written by Bruce Kelly of Investment News had all the makings of a tabloid scandal. Stockbrokers, forged documents, sexual harassment, an SEC investigation, Hooters girls and the misappropriation of customer funds from a prominent brokerage firm. The problem is that Kelly is a real journalist and the story he penned today about Commonwealth [...]

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Stockbrokers Dont Want To Air Dirty Laundry – Stockbroker Fraud Post

by Brian Mahany We are firm believers in full and complete disclosure. Americans are smart enough to understand that not every complaint against a stockbroker is legitimate. Many complaints are unfounded or frivolous. But as customers and clients, we should have the right to know if other complaints are pending against a broker. Under a [...]

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Zombie Stockbrokers – Land of the Living Dead – Stockbroker Fraud Post

by Brian Mahany Zombie horror is quite the rage these days in the entertainment industry. Movies, TV shows… even my local Barnes & Noble retailer has an entire section of books devoted to the living dead. While the zombies in the entertainment industry are imaginary, debarred stockbrokers and investment advisers really do come back from [...]

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“Should I Stay or Should I Go” – FINRA’s New Suitability Rules (Stockbroker Fraud)

by Brian Mahany “One day is fine, next is black So if you want me off your back Well come on and let me know Should I stay or should I go? … If If I go there will be trouble An if I stay it will be double… Should I stay or should I go…” [...]

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FINRA Arbitration Panel Slams Oppenheimer For Churning Customer’s Account

by Brian Mahany Although the stock market has been doing relatively well in recent months, not everyone makes money. For every winner there is a loser. For retired Texan Lloyd Gillespie, he was the big loser while Oppenheimer and his brokers were the winners. An arbitration panel from the Financial Industry Regulatory Authority (FINRA) agreed [...]

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