Current Investigations
GAO calls for FINRA Oversight Changes to Protect Investors
The Government Accountability Office (GAO) has called on the Securities and Exchange Commission (SEC) to make oversight changes to...
McDermott Investment Advisors held Liable
SEC Charged McDermott Investment Advisors with ‘double-dipping’ with advisory fees, transactional costs According to...
Financial Advisor Eric Hollifield reportedly faces Fraud Charges
SEC Reportedly Charges Ex- LPL Advisor Eric Hollifield with $1.7 M Fraud According to a litigation release on July 1, the SEC has...
UBS Settles Fraud Charges over YES Options Trading Strategy
UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy, YES (Yield Enhancement Strategy) According...
William “Ed” Torriente Barred after Allegations
FINRA Bars William “Ed” Torriente, Comerica Securities, after Allegations of Unauthorized Trading According to a Letter of Acceptance...
David Karandos, Dinosaur Financial, Barred after Allegations
FINRA Bars David Karandos, Dinosaur Financial, after Allegations of Unsuitable Investments According to a Letter of Acceptance Waiver and...
