Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

Investment Professionals Was Recently Sanctioned by FINRA

June 22, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that Texas-based broker-dealer Investment Professionals was recently sanctioned by FINRA in connection to alleged…

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SG Americas Securities Has Been Sanctioned in Connection to Alleged Rule Violations

June 22, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2017 indicate that New York-based brokerage firm SG Americas Securities was recently sanctioned by FINRA in…

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MSI Financial Services Was Sanctioned Due to Allegations of Misconduct

June 20, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that Massachusetts-based brokerage firm MSI Financial Services, also known as MetLife Securities, was recently…

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LBMZ Securities Sanctioned by FINRA

June 20, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that Illinois-based brokerage firm LBMZ Securities was recently sanctioned by FINRA in connection to…

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Gabriel Yanez Received Customer Complaint Alleging Fraud

June 20, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that California-based Morgan Stanley broker/adviser Gabriel Yanez has received resolved or pending customer disputes.…

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Sampson Pearson Has Been Named in a Pending Customer Dispute

June 14, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 12, 2017 indicate that former North Carolina-based Northwestern Mutual Investment Services broker Sampson Pearson has been named…

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Nghi Ho Was Terminated From LPL for Violating Firm Policy

June 8, 2017
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Public records published by the Financial Industry Regulatory Authority (FINRA) on June 5, 2017 indicate that Texas-based IMS Securities broker Nghi Ho has received a pending customer dispute and was…

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Theodore Franse Was Discharged From a Former Employer

June 8, 2017
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 5, 2017 indicate that South Carolina-based Sandlapper Securities broker/adviser Theodore Franse has been terminated from a former…

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Bassam Salem Allegedly Breached his Fiduciary Duty

June 8, 2017
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Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 5, 2017 indicate that Michigan-based InvestShares broker/adviser Bassam Salem has received resolved or pending customer disputes. Fitapelli Kurta…

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Robert Yahney is the Subject of Four Pending Customer Complaints

June 8, 2017
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Public information published by the Financial Industry Regulatory Authority (FINRA) on June 5, 2017 indicate that Florida-based Merrill Lynch broker Robert Yahney has received several pending customer complaints. Fitapelli Kurta…

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