Wells Fargo Broker-Dealers to Pay $3.4 M in Restitution

Wells Fargo Broker-Dealers to Pay $3.4 M in Restitution

FINRA has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 M in restitution to affected customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and related supervisory...

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

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

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3 Things to Know About Financial Designations

3 Things to Know About Financial Designations

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JACOB GLICK DISCHARGED BY ADVANCED PRACTICE ADVISORS

JACOB GLICK DISCHARGED BY ADVANCED PRACTICE ADVISORS

Bingham Law is interested in speaking to investors who have complaints regarding Jacob Glick (CRD# 5046356).

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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.  ...

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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...

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