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SEC Charges Head Sales Agent in Castleberry Alternative Investments Scheme

The Securities and Exchange Commission has charged Boca Raton, Florida resident Scott Strochak, a former registered broker, for making material misrepresentations regarding an investment...

Emerson Equity Names Vice President of Operations

Emerson Equity LLC, a full-service brokerage firm, has hired Brooke Jones as vice president of operations. In her new role, the company said that...

ProEquities CEO Wins FINRA Large Firms Board Seat

Chris Flint, the president and CEO of ProEquities, has won the large firms seat in this year’s FINRA board of governors’ election over incumbent...

Cantor Fitzgerald and BMO Capital to Pay $4.5 Million for Improper...

The Securities and Exchange Commission has charged brokers Cantor Fitzgerald & Co. and BMO Capital Markets Corporation for improper handling of "pre-released" American Depositary...

FINRA Suspends Former Cetera Broker for Selling Woodbridge Notes in Unapproved...

The Financial Industry Regulatory Authority has fined and suspended a former Cetera Advisors broker for engaging in private securities transactions involving Woodbridge Group of...

SEC Charges Adviser for Defrauding Two Retail Investors in Oversees Investment...

The Securities and Exchange Commission has charged Richard G. Duncan, a longtime investment adviser and broker who first became registered in 1971, with defrauding...

Ladenburg Invests in Impact Investing Start-Up Targeting Millennial Investors

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has invested in Newday Financial Technologies Inc., a San Francisco-based startup focused...

Stifel to Buy Missouri-Based Broker-Dealer

Stifel Financial Corp. (NYSE: SF) has agreed to buy certain assets of George K. Baum & Company, a broker-dealer that focuses on municipal securities....

SEC Begins Administrative Proceedings Against Broker Sentenced to Five Years in...

The Securities and Exchange Commission has instituted public administrative proceedings against a former broker who was sentenced to federal prison in June for wire...

FINRA Bars Former Pruco Broker for Forging VA Applications to Meet...

The Financial Industry Regulatory Authority has barred Karen Paek, a former Pruco Securities broker, for creating and submitting multiple fictitious variable annuity applications to...