Securities Fraud and Mismanagement

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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...

Supreme Alliance Annuity Switching

by | Nov 7, 2025 | Insurance

FINRA alleges annuity switching fraud at Supreme Alliance and the broker failed to detect and stop it. FINRA alleges, that between September 2019 and May 2022 Supreme Alliance failed to take appropriate actions to prevent annuity “switching fraud.”...

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...