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FINRA Suspends Former High-Profile LPL Broker for Borrowing Money from Client

The Financial Industry Regulatory Authority has suspended and fined James Bashaw, a former LPL Financial broker, for borrowing approximately $200,000 from an LPL customer...

FINRA Suspends Former LPL Broker for Soliciting Investors for Unauthorized Variable...

The Financial Industry Regulatory Authority has suspended and fined a former LPL Financial broker for soliciting investors to purchase an unauthorized variable life insurance...

FINRA Fines Former Growth Capital Services Broker for Allegedly Forging CEO’s...

The Financial Industry Regulatory Authority has suspended and fined John Robert White, a former Growth Capital Services broker, for allegedly forging the CEO’s signature...

SEC Fines Wedbush $250,000 to Settle Failure to Supervise Charge

Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle a failure to supervise charge in a pending...

FINRA Bars Former Merrill Lynch Broker Allegedly Faking Childcare Reimbursement Requests

The Financial Industry Regulatory Authority has barred former Merrill Lynch broker Elizabeth Marie Garcia for allegedly filing fake childcare expense reimbursement requests. From January 2016...

FINRA Bars Former Fidelity Rep for Alleged Computer Purchase Reimbursement Scam

The Financial Industry Regulatory Authority has barred Kitwana Thomas, a former Fidelity Brokerage Services broker, for allegedly cheating the firm out of thousands of...

FINRA Bars Former Quest Capital Broker for Selling Woodbridge Promissory Notes

The Financial Industry Regulatory Authority has barred former Quest Capital broker Frank Dietrich for selling his clients more than $10.8 million in promissory notes...

Former Royal Alliance Adviser Pleads Guilty to Criminal Fraud Charges

Kimberly Kitts, a former Royal Alliance financial adviser, pleaded guilty to criminal charges filed by the U.S. Attorney for the District of Massachusetts. Kitts...

Centaurus Financial Names New Corporate Counsel

Centaurus Financial Inc., an independent broker-dealer, has hired Michael West to serve as corporate counsel to the firm. Prior to joining Centaurus, West spent nine...

SEC Charges Former Next Financial Adviser with $3.9 Million Fraud

The Securities and Exchange Commission has charged a former Next Financial registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering...