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March 28, 2019
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Blog, Current Investigations
Sam Aziz – Coastal Securities – Dublin, Ohio According to Letter of Acceptance, Waiver & Consent, on March 27 The Financial Industry Regulatory Authority (FINRA) has barred former financial advisor Sam Aziz from the securities industry. FINRA reportedly commenced an investigation into Aziz and his sales
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September 5, 2018
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Blog, Current Investigations, Securities Fraud
Stifel, Nicolaus & Co. – Stephen Hurtuk – Boardman, Ohio According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Ohio financial advisor Stephen Hurtuk from the securities industry for failure to provide testimony in an investigation. On June 27, 2017, FINRA staff
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June 4, 2018
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Blog, Current Investigations, Securities Fraud
Christopher Wendel – SA Stone Wealth Management – Investigation According to the Financial Industry Regulatory Authority (FINRA) on June 1, the regulator has barred former financial advisor Christopher Wendel from the securities industry. According to the Letter of Acceptance, Waiver & Consent, between
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March 14, 2018
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Blog, Current Investigations
Investigating Potential Claims Involving Fred Brisker According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Fred Brisker of Portsmouth, Ohio who was terminated from Parkland Securities earlier this month. “The firm Parkland Securities has reason to believe that the representative
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October 17, 2014
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Blog, Securities Fraud
According to a recent FINRA Disciplinary Actions announcement, Joshua Craig Miracle (CRD #4311488, Akron, Ohio) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Miracle consented to the sanction and to the entry of findings that
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March 11, 2014
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Blog, Securities Fraud
According to the Columbus Dispatch, former broker, Jeffery Kelly, was sentenced to 5 years in prison for operating a Ponzi scheme. Kelly who was indited on 17-counts, pled guilty last year to to wire fraud and interstate transportation of a security taken by fraud. Kelly allegedly took more than $1.5 million from
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June 24, 2013
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Blog, Securities Fraud
Were you a victim of a securities fraud orchestrated by broker Jeffrey Kelly? If so, the securities attorneys of The White Law Group may be able to help you recover your investment losses. According to the FBI’s press release, Jeffrey G. Kelly admitted to running a investment fraud scheme between 2006 and
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March 26, 2012
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Blog, Securities Fraud
According to the Cincinnati Business Courier, Elliot Kravitz, a financial advisor in Mason, Ohio, recently pleaded guilty to one count of wire fraud for an investment scheme in which he defrauded nine of his customers out of more than $2 million. Kravitz could face up to 20 years in prison and a fine of up …
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January 27, 2012
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Blog, Securities Fraud
Valmark Securities, Inc. (CRD #31243, Akron, Ohio) recently submitted an Offer of Settlement in which the firm was censured and ordered to pay $350,000 in restitution to investors. Without admitting or denying the allegations, the firm consented to the described sanctions and to the entry of findings that the firm
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May 24, 2010
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Blog, Securities Fraud
FINRA recently announced that Ancora Securities, Inc., a registered broker-dealer based in Cleveland, Ohio, has been censured, fined $12,500 and required to revise its written supervisory procedures regarding trade report input. Without admitting or denying the findings, Ancora Securities consented to the described
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