by Jeff Pederson | Feb 3, 2025 | Uncategorized
Smith Brown & Groover, a brokerage firm headquartered in Macon, Georgia, settled allegations by FINRA, the Financial Industry Regulatory Authority, the regulator overseeing brokerages, that the firm recommended a trading strategy that the firm did not understand...
by Jeff Pederson | Jan 20, 2025 | Uncategorized
Please contact us if you were an investor of Matthew Ian Turner of Westpark Capital and suffered losses. Allegations against Turner and his employer include trading without authorization and excessive trading of investments for the purpose of paying Turner a higher...
by Jeff Pederson | Jan 13, 2025 | Uncategorized
Silver Bonds are a type of collateralized mortgage obligation (CMO) sold by BMO Capital Markets. Please contact us if you suffered losses in such investments. BMO agreed to pay more than $40 million to settle charges by the Securities and Exchange Commission (SEC)...
by Jeff Pederson | Dec 18, 2024 | Uncategorized
George Herman Snyder IV previously served as an Ameriprise broker in Springfield, Missouri. On October 11, 2024, FINRA, a regulator overseeing securities brokerages, issued a settlement, an AWC, which assessed Snyder with penalties. The regulator issued a deferred...
by Jeff Pederson | Dec 8, 2024 | Uncategorized
Please contact us if you are or were with Union Capital and suffered losses despite being a conservative or moderate risk investor. From January 2019 through at least December 2021, Union Capital failed to establish, maintain, and enforce a supervisory system,...
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