February 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 moreMARCH 2018 UPDATE–Mark Kaplan was permanently barred from the securities industry by FINRA and , without admitting or denying them, agreed to entry of the following findings: Kaplan exercised de…
read moreMarch 2017- Dallas, TX According to publicly available records First Dallas Securities Inc. (CRD# 24549) , a brokerage firm with about 24 brokers headquartered in Dallas, Texas, discloses a recent regulatory sanction.…
read moreJune 2017-Delray Beach, FL The FINRA records of Christopher R. Hickman , a former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…
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…
read moreAPRIL 2018 UPDATE–Barry Kiron’ts FINRA record currently discloses 13 prior customer disputes. October 2016-Garden City, NY The FINRA records of Barry M. Kiront, a stockbroker who is currently employed by Craft Capital Management disclose 10 prior…
read moreJuly 2016-New York The FINRA records of Further Lane Securities, L.P. , disclose a currently pending regulatory event and 2 prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…
read moreUPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…
read moreJericho, New York According to FINRA records, Leigh M. Garber , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter and a prior final regulatory matter. The Financial Industry Regulatory Authority…
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