by Jeff Pederson | Jan 18, 2017 | Uncategorized
The Financial Industry Regulatory Authority (FINRA) announced in January 2017 that it resolved a regulatory action against Dougherty & Company LLC, headquartered in Minneapolis, Minnesota. We believe that this action exposed supervisory problems within...
by Jeff Pederson | Oct 19, 2016 | Uncategorized
Paul Lebel, a broker formerly registered with LPL Financial, was barred on Tuesday, October 18, 2016, by the Securities and Exchange Commission for churning and excessively trading mutual funds in customer accounts and generating excess fees. If you suffered losses...
by Jeff Pederson | Oct 6, 2016 | Uncategorized
Investors Capital Corp., a Cetera subsidiary, agreed to pay $1.1 million to settle Finra charges that it recommended unsuitable short-term trades in complex products to clients including steepener notes. Trident has agreed to pay a $50,000 fine. For more information,...
by Jeff Pederson | Sep 29, 2016 | Uncategorized
If you are an investor with UBS suffering losses in investments made between 2011 and 2014 you may be entitled to a recovery. Please call 1-866-817-0201 for a free consultation. As reported by Rueters, UBS Group AG has agreed to pay more than $15 million to settle...
by Jeff Pederson | Jul 6, 2016 | Uncategorized
If you were a victim of the Ponzi scheme or other investment fraud of Rhode Island investment adviser Patrick Churchville please call 1-866-817-0201. Churchville has agreed to plead guilty to criminal charges for orchestrating a $21 million Ponzi scheme, according to...
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