News & Events
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 moreHello, Can You Hear Me?
BEWARE OF THE CAN YOU HEAR ME SCAM. The Can You Hear Me scammer’s one and only goal is to get you to say “YES” to anything!
read moreEx 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 expenses.
read moreKeeping Your Teen Safe This Prom Season
Prom is an exciting night in a teen’s life. As parents, we want our kids to enjoy themselves and make the best memories of high school, but we also want to be sure they are staying safe.
read moreTax Day is Tuesday, April 18th this Year!
Because April 15th falls on a Saturday and Emancipation Day (celebrated by the District of Columbia) falls on Sunday, April 16th, the tax deadline is pushed out to the following Tuesday, April 18th, giving taxpayers three extra days to file returns.
read moreVALIC 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 supervision.
read moreFour Tips for Safe, Fun Mardi Gras
You don’t have to live in New Orleans to get caught up in the excitement of Mardi Gras. If you’re one of the millions across the country that will join in the celebration on February 28th, we would like to share four tips to help keep your Mardi Gras festivities safe and fun!
read moreHappy Presidents Day
The Law Office of Anthony B. Bingham, P.C. will be closed on February 20, 2017 in observance of Presidents Day.
read moreFINRA Permanently Bars LPL Financial’s Dominic DeBruin
Dominic T. DeBruin has been permanently barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public. DeBruin allegedly placed client funds into a bank account that he controlled and reportedly did not disclosed the activity to LPL Financial LLC.
read moreAmeriprise Financial Services, Inc. Fined $850K
FINRA fined Ameriprise Financial Services, Inc. $850K for failing to supervise the transmission of funds from their customer brokerage accounts. A Registered Representative converted more than $370K without detection for two years. The lack of an established supervisory system by Ameriprise led to missed red flags that would have uncovered the misconduct.
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