Securities Fraud and Mismanagement

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FINRA Allegations

Securities America Mutual Fund Switching

by | Dec 5, 2025 | FINRA Allegations

Mutual Fund Switching can cost investors substantial sums. The Financial Industry Regulatory Authority (FINRA) charged Securities America with allegations of mutual fund switching. Securities America is currently owned by Osaic. Osaic paid $3 million to settle these...

James Holmes III

by | Nov 26, 2025 | FINRA Allegations

James Holmes settles regulatory allegations of churning, document manipulation and unsuitable securities recommendations. James Holmes settled allegations of FINRA, the Financial Industry Regulatory Authority, that he brazenly falsified documents to allow him to churn...

Barry Buchholz Unauthorized Trading

by | Nov 20, 2025 | FINRA Allegations

Barry Buchholz is accused by heirs of making unauthorized trades in the accounts of a client’s heirs. Barry Buchholz is an LPL broker. He accepted a suspension from the Financial Industry Regulatory Authority (FINRA) over allegations of unauthorized trading in...

Joseph Kelly Securities Fraud

by | Oct 29, 2025 | Alt investment, FINRA Allegations

FINRA fines and suspends Joseph Kelly over numerous alleged violations of numerous securities regulations. August 22, 2025, FINRA issued an AWC, a regulatory settlement, in which fined Joseph Kelly $10,000, suspended him from association with any FINRA member in all...