Enormous Alleged Lawson Financial Bond Sale Fraud

Posted on May 24, 2016

A complaint was filed by FINRA against Lawson Financial Corporation, a Phoenix-based firm, and CEO, Robert Lawson for securities fraud in the sale of millions of dollars of municipal revenue bonds.  If you purchased any bonds from Lawson Financial Corporation, Inc., call us today at 480.832.1922.  Read the full article...

David Joseph Escarcega of Phoenix, AZ Fined for Misrepresentations

Posted on May 24, 2016

David Joseph Escarcega of Phoenix, AZ was sanctioned by FINRA for intentionally making false misrepresentations or omissions to customers.  Read the FINRA Disciplinary Action Here on page...

MetLife Sanctioned $25M For Variable Annuity Activities

Posted on May 3, 2016

“…FINRA announced today that it has fined MetLife Securities, Inc. $20M and ordered it to pay $5M to customers for making negligent material misrepresentations and omissions on variable annuity replacement applications for tens of thousands of customers.” If you have a MetLife variable annuity and believe you were misled, call us today at 480.832.1922. Read Entire FINRA Article...

5 Things To Know About Transferring A Brokerage Account

Posted on Apr 28, 2016

According to FINRA, “When investors transfer securities account assets between broker-dealers, the process runs smoothly for the vast majority of the thousands of accounts transferred each year. But there are times when delays occur and investors have questions. Here are 5 things you should know about the account transfer...

What You Need To Know About Financial Planners

Posted on Apr 18, 2016

“Unlike brokers or investment advisers, the financial planning profession does not have its own regulator. Instead, individuals who call themselves financial planners may be regulated in relation to other services they provide.”  Read the FINRA Article...

How Investors Can Avoid Getting Fooled

Posted on Apr 1, 2016

“April 1st is a day to indulge in silly hoaxes and pranks. But there’s nothing funny about a fraudster carrying out a scam – and no one will yell ‘April Fools’ to make the harm melt away,” said Gerri Walsh, Senior VP of Investor Education at FINRA. “So instead of offering practical jokes, we’re marking the start of Financial Literacy Month with practical tips for becoming a smarter...