Stifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…
read moreHorizon Private Equity III Investor Losses Estimated to Exceed 25 Million According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…
read moreLPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…
read moreSecurities Enforcement Actions Securities Division- North Carolina Secretary of State Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…
read moreSean Sullivan Investigation September 2022- Melville, NY According to publicly available records, Sean T. Sullivan, a former Aegis Capital broker discloses customer disputes and a termination from employment. The Financial Industry…
read moreYES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…
read moreNobles & Richards Fined by Securities Regulators May 2022-Plano, TX Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and…
read moreWynston Hill Capital Craig Sherman Investigation March 2022-Fletcher, NC The FINRA records of Craig Jay Sherman a broker who formerly worked for Wynston Hill Capital, discloses a recent final regulatory…
read moreGreg Williams Investigation November 2021-Greenwood, CO According to publicly available records, Gregory Jon Williams, a former broker who was last employed by Fort Finanical Group, discloses 6 pending and 3 prior…
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