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Disclosing their agreement to pay $125 million to the Securities and Exchange Commission (SEC) $125 million and $75 million to […]

Broward County, Florida-based financial adviser German Nino, found guilty of stealing from three advisory clients of his then firm UBS,

National Securities Corporation (NSC) has been fined $9 million by FINRA, including $4.77 million in net profits the company made

Merrill Lynch was fined $15.2 Million ($13.4 Million plus interest) by Financial Industry Regulatory Authority (FINRA). It allegedly charged consumers

John Jumper was a former broker with Alluvion Securities who stole $5.7 million from Snowshoe Refractories (a Pennsylvania-based firebrick manufacturer’s

Morgan Stanley, along with one of its financial advisors, now former, Francisco Valenzuela, have been asked to pay $330K over

The Financial Industry Regulatory Authority (FINRA) has taken action against a former Morgan Stanley broker from Beverly Hills, California for

When a broker makes a recommendation that is not suitable for a client, that investor is at risk of taking

Are you wondering if you can sue a financial advisor? Perhaps your advisor shifted firms, or you experienced investment fraud.

Investing in a Ponzi Scheme? There are signs to watch for to avoid falling prey to this financial scam. These