June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…
read moreJuly 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…
read moreThe Texas Department of Insurance provides an Information Center on their website as a resource for investors and consumers. Investors considering the purchase of an annuity can learn a great…
read moreJune 19, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No 2013035347704 against Alluvion Securities, LLC, Lowell S. Wilson and John S. Jumper alleging net capital violations, supervisory violations and…
read moreJune 19, 2015 Morgan Stanley Smith Barney entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2009-November…
read moreJune 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay a customer over $1.2 million on claims of negligence, unsuitability, breach…
read moreApril 21, 2015 Daniel Grieco entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…
read moreJune 10, 2015 Newbridge Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…
read moreJune 16, 2015-Tampa, FL Heidi Y. Calonge, 34, of Plant City, Florida, was charged with bank fraud, wire fraud and mail fraud for allegedly wrongfully taking bonus and commission checks.…
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