2021-01-12: Updated: 2021-01-12 14:13:01 SEC Puts Nail in Coffin of Career of Ex-Morgan Stanley Broker’s Barry F. Connell Dan Miller
2021-01-12: Updated: 2021-01-12 13:59:28 Finra Fines and Supends Ex-Ameriprise Broker Angel W. Bardeche Dan Miller
2020-12-23: Updated: 2020-12-23 14:24:50 FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans” Dan Miller
2020-12-15: Updated: 2020-12-15 13:56:54 Finra Hits Veteran Broker Over UIT (Unit Investment Trust) Sales Dan Miller
2020-12-10: Updated: 2020-12-10 13:52:58 The Second Largest FINRA Settlement in last decade – Merrill Lynch to pay $26 million, in part to former NH Governor Craig Benson, to settle churning allegations by Charles Kenahan Dan Miller
2020-11-20: Updated: 2020-11-20 16:03:40 Morgan Stanley Fires Brokers over Inherited Account Credits Blake Ridenour Jazmin Gabriela Carpenter and others Dan Miller
2020-11-12: Updated: 2020-11-12 10:46:58 Citigroup’s errors lead to securities class action Dan Miller
2020-09-29: Updated: 2020-09-29 17:28:42 Stern v. Stifel – Excerpt from the Experts Examiner reading the post arbitration motions Dan Miller
2020-09-01: Updated: 2020-11-10 12:58:10 Wells Fargo Pays $550,000 for Failing to Supervise Dan Miller
2020-05-01: Updated: 2020-05-01 13:18:13 SEC Settles Securities Fraud Charges Filed Against Stephen Douglas Pizzuti Dan Miller
2020-04-21: Updated: 2020-04-21 14:58:16 Broker John Hoff Russell and Stifel Ordered to Pay $800,000.00 Dan Miller
2020-03-12: Updated: 2020-03-12 11:42:40 ‘Money Guy’ and Previous Investment Advisor Philip Rousseaux in Litigation Again Dan Miller
2020-03-11: Updated: 2020-03-11 16:38:45 Customer Broker and Investment Fraud Claims to Heat Up Dan Miller
2020-03-04: Updated: 2020-06-19 18:48:31 Stifel Nicolaus & Company, Incorporated to pay more than $1.5 million to customers who claimed that their Financial Advisor, Kenneth Blumberg unsuitably concentrated their portfolios Dan Miller
2020-03-02: Updated: 2020-03-11 13:18:59 The SEC Obtains Final Judgment Against Hedge Fund Manager Nicholas Lattanzio – Call 410 Law Firm for more information Dan Miller
2019-10-08: Updated: 2020-03-11 13:17:38 Claimants Awarded More Than $1.5 Million Against Stifel in Failure-to-Supervise Arbitration Dan Miller
2019-08-20: Updated: 2020-03-11 13:16:24 $14 Million From J.P. Morgan to Settle Customer Claim Against Advisor Antoine Souma Dan Miller
2019-05-07: Updated: 2020-02-25 17:25:05 Complaint against Stifel Nicolaus, Coleman Devlin and Kenneth Blumberg Dan Miller
Securities & Stock Broker Fraud Blog