Former Investment Advisor Richard Mark Schmerman Sentenced

Posted on Apr 11, 2018

FINRA Sanctions Pending Review for Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi and D Michael Cruz

Posted on Jan 16, 2018

John Christopher Oldham, Gold Canyon, AZ Suspended for 3 months from FINRA

Posted on Jan 3, 2018

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

Posted on Nov 13, 2017

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...

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

Posted on Nov 2, 2017

3 Things to Know About Financial Designations

Posted on Oct 16, 2017