Former Morgan Stanley Broker Fined $5,000 for Impersonating Clients
The Financial Industry Regulatory Authority (FINRA) has fined John Tillotson, a former Morgan Stanley broker, for impersonating several clients.
Posted October 4, 2019
Stockbroker Misconduct and Investment Fraud Blog
FINRA Bars Securities Broker After Failing to Appear in Court
The Financial Industry Regulatory Authority has barred former Securities America stockbroker Bobby Wayne Coburn for failure to appear in court.
Posted October 1, 2019
FINRA Requests Broker-Dealers to Provide Advanced Notice of Cryptocurrency Use
The Financial Regulatory Authority, Inc. (FINRA) has requested that U.S. broker-dealers inform the regulator if they intend to use digital assets such as cryptocurrency.
Posted September 30, 2019
DKR Files More FINRA Claims to Recover UBS YES Losses
Investment fraud lawyers at Dimond Kaplan & Rothstein, P.A. (“DKR”) have filed additional FINRA arbitration claims against UBS Financial Services, Inc. on behalf of UBS customers.
Posted September 24, 2019
Former Vanguard Group Employee Pleads Guilty to Money Laundering
Scott Capps, a former Pennsylvania employee at the Vanguard Group, was sentenced to four years in prison for a $2.1 million fraud scheme.
Posted September 23, 2019
Wells Fargo Fined for Lapsed Agent Registrations
Wells Fargo has been fined $450,000 for failing to ensure that agents and supervisors were registered with the state of Massachusetts.
Posted September 20, 2019
