Tag: securities fraud attorney
James “Jeb” Bashaw | Broker Investigation
FINRA Suspends Broker James Bashaw for Allegedly Borrowing Money from Client According to The Financial Industry Regulatory Authority...
Variable Annuity Sales Rise in 2018
Investor Alert: Variable Annuity Sales Increase in 2018 According to an article in Investment News today, independent broker-dealers saw a...
James B. Schwartz, Aegis Capital | Churning Investigation
James B. Schwartz, Former Financial Advisor with Aegis Capital Corp. Investigated for Churning Have you suffered investment losses with...
Corey Lee Mireau, Ameriprise | Broker Investigation
Financial Advisor Corey Lee Mireau Suspended for FINRA Violations Are you concerned about investments you made with financial advisor Corey...
Benjamin Bourgeois Jr., Commonwealth | Fraud Investigation
Benjamin Bourgeois Jr. Reportedly Arrested for Fraud Updated May 29, 2019 Have you suffered investment losses with financial advisor...
Broker Perry De Leeuw, PFS Investments, Barred from Securities Industry
FINRA Bars Financial Advisor Perry De Leeuw, of Duluth, GA after Allegations of Selling Away *Updated* Have you suffered losses investing...
