August 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…
read moreAugust 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…
read moreSeptember 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…
read moreLos Angeles, CA-July 2017 A Financial Industry Regulatory Authority (FINRA) arbitration panel comprised of three public arbitrators ordered Wedbush Securities to pay two former customers (husband and wife) compensatory damages…
read moreJuly 2017 Thirteen individuals from two Long Island-based boiler rooms were charged with securities fraud by the Securities and Exchange Commission who alleges that they made hundreds of thousands of…
read moreMay 16, 2017-Williston, VT The New England Federal Credit Union is holding a seminar on Elder Financial Exploitation on Thursday, May 18th, at their main branch located at 141 Harvest…
read moreApril 2017- Simi Valley, CA The FINRA records of Steven H. Murphy, a stockbroker who is currently employed by Summit Brokerage Services and was previously employed by VSR Financial Services, disclose a pending customer dispute and…
read moreApril 2017- New York The FINRA records of Demitrios Hallas , a former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…
read moreOctober 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) , a currently unregistered stockbroker who last worked for IFS Securities , has numerous disclosures: 1 pending…
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