$13M in Fines and Restitution for Failure to Supervise UIT Sales

$13M in Fines and Restitution for Failure to Supervise UIT Sales

Read More

3 Things to Know About Financial Designations

3 Things to Know About Financial Designations

Read More

JACOB GLICK DISCHARGED BY ADVANCED PRACTICE ADVISORS

JACOB GLICK DISCHARGED BY ADVANCED PRACTICE ADVISORS

Law Office of Anthony B. Bingham, P.C. is interested in speaking to investors who have complaints regarding Mr. Glick (CRD# 5046356).

Read More

Eric Joseph Miller Barred From Association With Any FINRA Member

Eric Joseph Miller Barred From Association With Any FINRA Member

Eric Joseph Miller of Scottsdale, AZ, has been barred from association with any FINRA member in any capacity.  Mr. Miller failed to appear and provide FINRA with requested testimony at a disciplinary hearing.  Read the FINRA Hearing Officers Default Decision here.    

Read More

Ex AZ Investment Advisor, Schmerman, Indicted for Fraud

Ex AZ Investment Advisor, Schmerman, Indicted for Fraud

Arizona grand jury has indicted former investment adviser Richard Schmerman for allegedly misappropriating more than $800k of his clients’ funds.  According to the indictment, Schmerman impersonated clients to gain access to their investment accounts to pay personal...

Read More

VALIC Fined $1.75M by FINRA

VALIC Fined $1.75M by FINRA

A recent FINRA News Release found that Houston-based VALIC Financial Advisors, Inc. (VFA) created a conflict of interest by providing registered representatives a financial incentive to recommend that customers move funds, while failing to maintain systems and procedures of monitoring and...

Read More