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 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 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 moreNEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…
read moreSeptember 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…
read moreJuly 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL, will close it doors and roll its business up into an…
read moreFebruary 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales…
read moreMAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…
read moreApril 2017-Burlington, MA Berthel Fisher & Company and one of their brokers Jeffrey P. Dragon were named in a FINRA complaint alleging that Dragon generated more than $421,000 in concessions…
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