by Jeff Pederson | Feb 17, 2017 | Uncategorized
On February 16, 2017, Wisconsin broker Joseph Henry Murphy of B. C. Ziegler and Company and formerly of RBC entered into an AWC settlement with FINRA Regulators. As identified in FINRA regulatory findings, on February 11, 2015 Murphy exercised discretion in 27...
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 | Nov 27, 2016 | Uncategorized
As reported in Investmentnews.com, Levi David Lindemann, a Minnesota-based investment adviser has received a six-plus-year prison sentence for stealing from clients and perpetuating a Ponzi scheme. The 40-year-old adviser, Lindemann, was sentenced to 74 months in...
by Jeff Pederson | Aug 16, 2016 | Uncategorized
If you suffered investment loss with David B. Tysk please call 1-866-817-0201 for a free consultation. David Tysk, financial advisor for Ameriprise in Eden Prairie, MN, was fined $50,000 and suspended from association with any FINRA member in any capacity for one...
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