How to Recover Losses on GPB Funds November 2021 GPB Alleged to be a Ponzi-Like Scheme GPB raised over $1.8 billion in high risk private placements that were sold to…
read moreFebruary 2019-Middleton, MA According to publicly available records Bruce C. Worthington (CRD# 2193895) , a stockbroker previously employed by Founders Financial Securities, discloses a pending regulatory event, a prior regulatory event, a pending…
read moreJuly 2018 Securities regulators from Massachusetts have accused Alan P. Siegel, a broker with G.A. Repple of lying on his website by claiming that he had never received a customer…
read moreMay 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…
read moreOctober 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…
read moreApril 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) , a FINRA registered broker dealer headquartered in Austin, Texas, discloses 10 prior final regulatory events and…
read moreMarch 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…
read moreUPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution and fines as a result of an investigation into sales of unsuitable variable annuities by former…
read moreAugust 2016- Yarmouth, MA The FINRA records of Dennis H. Cambal , a stock broker who is currently employed by NBC Securities disclose a prior regulatory event and 9 prior customer disputes. The Financial Industry Regulatory Authority…
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