DKR Partner Michelle Suskauer Named Fastcase 50 Honoree
Dimond Kaplan & Rothstein, P.A. partner Michelle Suskauer, who also is the current President of the Florida Bar, has been named as a “Fastcase 50” honoree.
Posted 3 days ago
Stockbroker Misconduct and Investment Fraud Blog
Ex-Broker Jeffrey Griffin Jr. Gets 10 Years for Stealing Investor Money
Former stockbroker Jeffrey Griffin Jr. has been sentenced to 10 years in prison for using thousands of dollars of client money for personal expenses.
Posted 5 days ago
FINRA Bars Former Morgan Stanley Manager for Failing to Supervise Abusive Broker
FINRA has barred former Morgan Stanley manager Terry McCoy from working in a supervisory capacity in the industry for failure to supervise a broker.
Posted 10 days ago
Independent Financial Group Broker Barred by FINRA for Unsuitable Investments
A former Independent Financial Group broker has been barred by FINRA for making unsuitable investment recommendations to elderly clients.
Posted 16 days ago
Constant Contact Subscriber Scheme Results in $8M Fine
The U.S. Securities and Exchange Commission (SEC) has reached an $8 million settlement in the Constant Contact Subscriber Scheme where two marketing firms were accused of inflating subscriber numbers used to measure financial performance and...
Posted 19 days ago
Oppenheimer Client Receives $800,000 FINRA Award
The Financial Industry Regulatory Authority Inc. (FINRA) has found that Oppenheimer & Co. executed unauthorized and unsuitable trades in a client’s account resulting in a FINRA award for the client. The client, Robert Dekas, alleged that...
Posted 24 days ago
