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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...

KMS Financial Services Names New Chief Executive Officer

KMS Financial Services Inc., an independent advisory and brokerage firm and wholly-owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has named Erinn...

Skyway Capital Hires New National Sales Director

Skyway Capital Markets LLC, a boutique investment banking, managing broker-dealer and wholesale securities distribution firm, has hired Joe Millo to serve as national sales...

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...

Morrison & Foerster Adds Another REIT Group Partner

Morrison & Foerster, a global law firm, has named Heath Linsky as a partner in its real estate investment trust group. The firm said...

GPB Capital Provides Additional Details on Investigations

GPB Capital, a New York-based alternative asset management firm, has issued a series of frequently asked questions to provide additional details on the various...

GPB Capital Discloses Another Investigation

GPB Capital, a New York-based alternative asset management firm, sent a letter to investors disclosing that authorities made an unannounced visit to their New...

FINRA Fines Former Ameriprise Broker for Allegedly Impersonating Clients

The Financial Industry Regulatory Authority has suspended and fined a former Ameriprise broker for allegedly impersonating six customers during telephone calls made to Ameriprise's...

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...