James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read moreStifel 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 moreTop Investor Threats for 2023 Per NASAA April 2023 The North American Securities Administrators Association (NASAA)represents state and provincial securities regulators in the United States, Canada and Mexico. According…
read moreDarryl Cohen-Misappropriation From NBA Player Accounts April 2023-Westlake Village, C A The FINRA records of Darryl Cohen, a former stock broker who was last employed in the industry by Morgan Stanley…
read moreChristopher Burns Charged With Stealing Millions April 2023– Berkeley Lake, GA According to a press release issued by the U S Attorney’s office for Northern District of Georgia, “He betrayed…
read moreTexas State Securities Board Settlement with Robinhood Financial April 2023– Austin, TX The Texas State Securities Board (TSSB) has joined a multi-state settlement with Robinhood Financial which will pay…
read moreDonald Kowalsky Investigation April 2023- Atlanta, GA The FINRA records of Donald Kowalsky , a Cambridge Investment Research, Inc. broker discloses 3 prior customer disputes and a pending customer dispute. The…
read moreApril 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that they may be facing costs of up to $32 million in connection with a recent flurry…
read moreStacy Mari Goldsmith Investigation April 2023– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes. The…
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