by Jeff Pederson | 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...
by Jeff Pederson | Aug 26, 2025 | FINRA Allegations
Joseph Kelly of Spartan Capital is alleged to have destroyed the savings of his investors by excessively trading their accounts. Josheph Kelly settled charges with regulators alleging that he excessively traded the portfolios of his investors. The Financial Industry...
by Jeff Pederson | Aug 2, 2024 | Uncategorized
We are handling multiple claims against Northern Colorado investment advisor and insurance agent Jeffrey Perryman. Perryman was previously employed by New York Life Insurance, NYLife Securities and Eagle Strategies, LLC. In October 2024, FINRA, the Financial Industry...
by Jeff Pederson | Dec 1, 2021 | Uncategorized
If you are or were an investor with First Standard Financial and believe First Standard churned your account, please call 303-300-5022. Initial consultations are free and confidential with an experienced attorney. A supervisor with First Standard Financial has...
by Jeff Pederson | Sep 16, 2021 | Uncategorized
On July 13, 2021, NEXT Financial entered into a regulatory settlement for excessive trading. In the settlement, the regulator censured, fined $750,000 and required NEXT to certify that it has implemented supervisory systems and procedures reasonably...
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