Blog
Crown Capital Securities LP Censured & Fined
FINRA Sanctions Crown Capital Securities LP, Orange, CA According to FINRA’s August Disciplinary report, on June 20, 2019, the regulator...
UBS Clients win $4.4 Million for Puerto Rico Bond Losses
Another FINRA Award involving UBS Puerto Rico Bonds According to award posted this week, a group of investors who bought Puerto Rico...
Kevin R. Graetz Broker Investigation, Updated August 25, 2020
Broker Kevin Graetz, Paulson Investment Company, New York, NY SEC Reportedly charges Joe Hede and Kevin Graetz with Selling Away in...
Erik P. Pica Broker Investigation
FINRA Investigation: Erik P. Pica – Joseph Stone Capital, New York, NY On July 22, 2019 The Financial Industry Regulatory Authority ...
Lloyd Dotson Broker Investigation
CFP Board Disciplinary Action – Lloyd Dotson, Commonwealth Financial Network Are you concerned about investments with former financial...
CitiGroup Global Markets Censured & Fined
FINRA Reportedly Sanctions CitiGroup Global for Supervisory Issues regarding UITs According to FINRA’s August Disciplinary report, on...
