Archives

2023-05-15: Updated: 2023-05-15 11:28:50 Mutual Fund Breakpoint Discounts – FINRA Fines and Suspends Ex-Cetera Broker

Dan Miller

2022-12-03: Updated: 2022-12-03 18:39:02 Miller Stern Lawyers – Investigation into Stricker Street Fire That Claimed The Lives Of Three Baltimore City Firefighters And Injured A Fourth – Departmental And City Wide Failures – Miller Stern Lawyers

Dan Miller

2022-03-02: Updated: 2022-03-02 18:22:25 Merrill Settles Claim for $4.25 Million Regarding Suitability Allegations

Dan Miller

2022-03-01: Updated: 2022-03-01 19:07:59 Brian Leggett and Bryson Holdings, LLC v. Wells Fargo Clearing Services, et al

Dan Miller

2022-03-01: Updated: 2022-03-01 18:46:22 FINRA To Hire A Law Firm to Review Arbitrator Selection After Judge Rebukes FINRA in Vacating a Wells Fargo Award

Dan Miller

2022-03-01: Updated: 2022-03-01 18:17:58 $950,000 Fine to Merrill – Flawed Supervision Allowed Two Advisors to Steal $6M

Dan Miller

2022-02-08: Updated: 2022-02-08 17:21:29 In An Order To Vacate Award By Wells Fargo, Judge Scolds FINRA Arbitration

Dan Miller

2022-01-26: Updated: 2022-01-26 14:07:08 J.P. Morgan to Pay $4 Million to Client

Dan Miller

2021-11-03: Updated: 2021-11-03 10:14:58 FINRA Sanctions Two Brokers over UIT Sales at Merrill

Dan Miller

2021-04-02: Updated: 2021-04-02 11:23:15 Finra Sanctions A Stock Broker Who Traded in A Dead Customer’s Account

Dan Miller

2021-04-01: Updated: 2021-04-01 10:19:44 Ex-Merrill Broker Pleads Guilty to $3 Million Fraud

Dan Miller

2021-04-01: Updated: 2021-04-07 21:52:40 Finra Fines and Suspends Ex-J.P. Morgan Broker over Unauthorized Trades

Dan Miller

2021-03-12: Updated: 2021-03-12 14:25:13 Brokers Seek to Vacate $19-Mln Award Due to Napping Arbitrators on Zoom

Dan Miller

2021-03-10: Updated: 2021-03-10 09:22:08 Morgan Stanley Potential $5 Million Claim from NBA Star

Dan Miller

2021-01-12: Updated: 2021-01-12 14:13:01 SEC Puts Nail in Coffin of Career of Ex-Morgan Stanley Broker’s Barry F. Connell

Dan Miller

2021-01-12: Updated: 2021-01-12 13:59:28 Finra Fines and Supends Ex-Ameriprise Broker Angel W. Bardeche

Dan Miller

2020-12-23: Updated: 2020-12-23 14:24:50 FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans”

Dan Miller

2020-12-15: Updated: 2020-12-15 13:56:54 Finra Hits Veteran Broker Over UIT (Unit Investment Trust) Sales

Dan Miller

2020-12-15: Updated: 2020-12-15 13:01:23 Finra Fines for Inadequate Broker Checks

Dan Miller

2020-12-10: Updated: 2020-12-10 13:52:58 The Second Largest FINRA Settlement in last decade – Merrill Lynch to pay $26 million, in part to former NH Governor Craig Benson, to settle churning allegations by Charles Kenahan

Dan Miller

2020-11-20: Updated: 2020-11-20 16:03:40 Morgan Stanley Fires Brokers over Inherited Account Credits Blake Ridenour Jazmin Gabriela Carpenter and others

Dan Miller

2020-11-12: Updated: 2020-11-12 10:46:58 Citigroup’s errors lead to securities class action

Dan Miller

2020-09-29: Updated: 2020-09-29 17:28:42 Stern v. Stifel – Excerpt from the Experts Examiner reading the post arbitration motions

Dan Miller

2020-09-01: Updated: 2020-11-10 12:58:10 Wells Fargo Pays $550,000 for Failing to Supervise

Dan Miller

2020-08-25: Updated: 2020-08-25 17:52:16 FINRA Suspends Broker

Dan Miller

2020-08-25: Updated: 2020-08-25 17:14:47 Brokers get hit for cutting corners

Dan Miller

2020-05-01: Updated: 2020-05-01 13:18:13 SEC Settles Securities Fraud Charges Filed Against Stephen Douglas Pizzuti

Dan Miller

2020-04-21: Updated: 2020-04-21 14:58:16 Broker John Hoff Russell and Stifel Ordered to Pay $800,000.00

Dan Miller

2020-03-12: Updated: 2020-03-12 11:42:40 ‘Money Guy’ and Previous Investment Advisor Philip Rousseaux in Litigation Again

Dan Miller

2020-03-11: Updated: 2020-03-11 16:38:45 Customer Broker and Investment Fraud Claims to Heat Up

Dan Miller

2020-03-04: Updated: 2021-06-02 11:33:00 Stifel Nicolaus & Company, Incorporated to pay more than $1.5 million to customers who claimed that their Financial Advisor, Kenneth Blumberg unsuitably concentrated their portfolios

Dan Miller

2020-03-04: Updated: 2020-03-11 13:19:41 SEC In the Matter of E. Herbert Hafen

Dan Miller

2020-03-02: Updated: 2020-03-11 13:18:59 The SEC Obtains Final Judgment Against Hedge Fund Manager Nicholas Lattanzio – Call 410 Law Firm for more information

Dan Miller

2020-02-25: Updated: 2020-03-11 13:18:12 Bed Bath & Beyond Law Suit

Dan Miller

2019-10-08: Updated: 2020-03-11 13:17:38 Claimants Awarded More Than $1.5 Million Against Stifel in Failure-to-Supervise Arbitration

Dan Miller

2019-08-20: Updated: 2022-04-27 14:50:54 $14 Million From J.P. Morgan to Settle Customer Claim Against Advisor Antoine Souma

Dan Miller

2019-05-07: Updated: 2020-02-25 17:25:05 Complaint against Stifel Nicolaus, Coleman Devlin and Kenneth Blumberg

Dan Miller