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FINRA Suspends Adviser Over Fake Sex Ads

The Financial Industry Regulatory Authority has suspended former Edward Jones broker Paul Martin Betenbaugh for three months for allegedly posting fake Craigslist sex ads...

SEC Charges Former Cetera Adviser with Securities Fraud

The Securities and Exchange Commission has levied fraud charges against a California-based hybrid advisory firm and its two senior executives for lying to investors...

FINRA Bars Former Dawn Bennett Associate

  The Financial Industry Regulatory Authority has barred Bradley Mascho for refusing to appear for on-the-record testimony relating to its investigation of fraud, undisclosed outside...

FINRA Fines New York Brokerage Firm $700,000 for Misleading Sales Literature

The Financial Industry Regulatory Authority has fined New York-based brokerage firm Meyers Associates LP, now known as Windsor Street Capital, $700,000 for using “unbalanced...
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