Month: April 2021
FINRA Claim: Morgan Stanley & Broker Jacob Shapira
Morgan Stanley Broker Jacob “Cobby” Shapira allegedly Shorted Amazon Stock According to Financial Advisor IQ this week, a...
David Martirosian of Joseph Stone Capital Barred from Securities Industry
FINRA Reportedly Bars Broker David Martirosian after Allegations of Unsuitable & Excessive Trading According to public records posted...
Pruco’s Frederick Joseph Rock – Fred Rock – Suspended
FINRA Reportedly Suspends Fred Rock after Allegations of Selling Away According to public records provided by the Financial Industry...
FINRA Claim: $23 Million over Tesla Trades
UBS Broker Allegedly Promoted Short Selling Tesla Stock According to an article in AdvisorHub today, a group of investors have reportedly...
Wells Fargo Fires Brokers over Improper Insurance Sales Practices
Wells Fargo Fires Brokers over Improper Insurance Sales Practices Wells Fargo Advisors has reportedly fired at least three brokers in...
SEC Orders Final Judgment against Ex-advisor Lester “Chad” Burroughs
Ex-Lincoln Investment advisor Lester “Chad” Burroughs Found Guilty of Wire Fraud The Securities and Exchange Commission has entered a...
