Mutual Fund Fraud

Archive | Mutual Fund Fraud

GWN Registered Representative Barred For Obstruction

November 07, 2017  |   Posted by :   |   Forgery, Mutual Fund Fraud   |   0 Comments

William H. Paterson, of Palm Beach Gardens, Florida, a former GWN Securities, Inc. registered representative, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of his sales practice violations as alleged within a customer initiated […]

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FINRA Fines Merrill Lynch Broker For Misrepresentation

November 01, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Landon Lavon Williams, of Jacksonville, Florida, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been fined $10,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Order Accepting Offer of Settlement containing findings […]

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UBS Financial Services Sued For Broker Bad Conduct

October 05, 2017  |   Posted by :   |   Annuity Schemes, Mutual Fund Fraud   |   0 Comments

David James Boor, of Farmington Hills, Michigan, a stockbroker currently registered with UBS Financial Services Inc., is the subject of a customer initiated investment related arbitration claim on May 30, 2017, in which the customer sought $139,000.00 in damages supported by allegations that between December 1, 2015, and May 30, 2017, Boor effected mutual funds […]

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Customer Sues 1st Global Capital Corp For Suitability

October 05, 2017  |   Posted by :   |   Mutual Fund Fraud   |   0 Comments

Sherry Elaine McNair, of Lubbock, Texas, a stockbroker currently registered with 1st Global Capital Corp., is the subject of a customer initiated investment related arbitration claim on January 8, 2016, in which the customer requested $250,000.00 in damages founded upon accusations that McNair placed unsuitable mutual fund transactions in the customer’s account. FINRA Arbitration No. […]

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CCO Investments Suspended For Unauthorized Trading

September 22, 2017  |   Posted by :   |   Mutual Fund Fraud   |   0 Comments

John Isaac Roach, of Beachwood, Ohio, a stockbroker formerly registered with CCO Investment Services Corp., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he placed unauthorized mutual fund trades in a customer’s account. Letter of Acceptance, Waiver and […]

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Hennion Walsh Broker Sued For Suitability

September 22, 2017  |   Posted by :   |   Mutual Fund Fraud   |   0 Comments

Sean J Mcelduff, of Parsippany, New Jersey, a stockbroker formerly registered with Hennion & Walsh, Inc., has been identified in a customer initiated investment related arbitration on December 16, 2016, in which the customer requested $260,000.00 in damages based upon accusations of suitability regarding municipal debt transactions effected in the customer’s investment account. Financial Industry […]

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American Portfolio Stockbroker Suspended For Suitability

August 26, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Ronald Benevento, of Holbrook, New York, a stockbroker formerly registered with American Portfolio Financial Services, Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unsuitable mutual fund switches in customer accounts, and mismarked customers trades as unsolicited. […]

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Raymond James Financial Suitability Claim Surfaces

August 15, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Sammy Junito Carrasquillo, of New York, New York, a stockbroker formerly registered with Chase Investment Services Corp., is the subject of a customer initiated investment related written complaint on August 8, 2011, in which the customer requested $19,902.44 in damages based upon allegations that Carrasquillo effected unsuitable transactions in the customer’s account and made misrepresentations […]

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Merrill Lynch Named In Customer Arbitration

July 03, 2017  |   Posted by :   |   Mutual Fund Fraud   |   0 Comments

James Jordan Plasterer Jr, of Tuscaloosa, Alabama, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been named in a customer initiated investment related arbitration claim on March 29, 2017, in which the customer requested $2,500,000.00 in damages based upon allegations that he did not properly handle the customer’s portfolio of […]

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JP Morgan Named In Customer Complaint

June 13, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Daniel Ki Roh, of Fort Lee, New Jersey, a stockbroker currently registered with J.P. Morgan Securities LLC, has been named in a customer initiated investment related written complaint on April 18, 2017, in which the customer requested $7,250.00 in damages based upon allegations that he omitted information from the customer concerning the fees on mutual […]

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MSI Financial Services Failure To Supervise

MSI Financial Services, Inc., a brokerage firm headquartered in Springfield, Massachusetts, has been censured by Financial Industry Regulatory Authority (FINRA) by consenting to findings that excessive fees were charged by the firm within customers’ accounts regarding mutual fund transactions, and that the firm did not appropriately supervise operations to protect customers from being overcharged. Letter […]

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AXA Advisors Broker Suspended For Unsuitable Recommendations

May 25, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

James Davis Trent, of Columbia, South Carolina, a stockbroker formerly registered with AXA Advisors LLC, was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity pursuant to an Order Accepting Offer of Settlement issued by FINRA Office of Hearing Officers which contained findings that Trent made unsuitable investment recommendations to […]

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Customer Sues Merrill Lynch For Unauthorized Trading

May 18, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

William Bartly Wolf, of Newark, New Jersey, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been named in a customer initiated investment related written complaint on September 2, 2015, based upon allegations that Wolf effected mutual fund trades in the customer’s investment account without the customer’s consent. Financial Industry Regulatory […]

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Cetera Advisor Networks Censured For Failure To Supervise

Cetera Advisor Networks LLC, a brokerage firm headquartered in El Segundo, California, has been censured by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm charged customers with excessive fees in reference to mutual fund transactions, and inadequately supervised its business operations to make sure customers were not overcharged. Letter of […]

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NYLife Securities Stockbroker Barred In Investigation

May 18, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Jonathan M. Lo, of New York, New York, a stockbroker formerly registered with NYLife Securities LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with a FINRA investigation into allegations that he effected unsuitable exchanges of […]

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AXA Advisors Stockbroker Charged With Unsuitable Recommendations

May 18, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

James Davis Trent, of Columbia, South Carolina, a stockbroker formerly registered with AXA Advisors LLC, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint containing allegations that he made unsuitable investment recommendations to customers. Department of Enforcement v. James Davis Trent, No. 2014041539301 (Apr. 27, 2017). According to the Complaint, […]

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Legend Equities Corporation Caught Overcharging Customers

April 20, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Legend Equities Corporation, a brokerage firm headquartered in Delaware, was censured by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm took advantage of charitable entities and retirement plan customers by overcharging them in mutual fund transactions. Letter of Acceptance, Waiver and Consent, No. 2016050259801 (Apr. 4, 2017). According to the […]

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Ameriprise Financial Stockbroker Fired

April 20, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Renee Rochelle Fields, of Manchester, Missouri, a stockbroker formerly registered with Ameriprise Financial Services, Inc., was terminated from employment on October 3, 2016, based upon allegations that Fields exercised discretion in customers’ accounts without their consent, effected a mutual fund trading strategy which was unsuitable for customers, and failed to apprise customers of material information […]

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Citizens Securities Caught Overcharging Customers

April 11, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Citizens Securities, Inc., a brokerage firm headquartered in Dedham, Massachusetts, was censured and fined $50,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm overcharged charitable entities and retirement plan customers in reference to mutual fund transactions. Letter of Acceptance, Waiver and Consent, No. 2016049977401 (Mar. 31, 2017). According to […]

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Merrill Lynch Stockbroker Suspended For Misrepresentation

April 10, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Jarred M. Lawson, of Jacksonville, Florida, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made misrepresentations and omissions to customers, and furnished misleading account documentation […]

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Merrill Lynch Sued For Unauthorized Trading

April 10, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Mark David Yadron, of Prescott, Arizona, a stockbroker currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been named in a customer initiated investment related written complaint on February 3, 2017, in which the customer requested $5,095.35 in damages based upon allegations that Yadron effected unauthorized closed-end fund trades in the customer’s investment […]

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Brokerage Firms Censured For Overcharging Customers

March 07, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Financial Industry Regulatory Authority (FINRA) member broker dealers, including Invest Financial Corporation, SII Investments, Investment Centers of America, and National Planning Corporation, have all been censured and fined by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firms overcharged charitable organization and retirement account customers in mutual funds transactions, and did […]

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Signator Investors Sued By Customer In Arbitration

February 14, 2017  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

David Jonathan Bolton, of Bowling Green, Kentucky, a stockbroker formerly registered with Signator Investors, Inc., has been named in a customer initiated investment related written complaint on April 1, 2016, based upon allegations that Bolton effected unsuitable class A share mutual fund transactions in an elderly customer’s account, and charged the customer with excessive commissions […]

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Cambridge Investment Research Overcharges Mutual Funds Customers

December 24, 2016  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Cambridge Investment Research, Inc., a broker-dealer headquartered in Fairfield, Iowa, has been censured by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm overcharged charitable organization and retirement account customers in connection with mutual funds transactions. Letter of Acceptance, Waiver and Consent, No. 2015046952401 (Dec. 17, 2016). According to the AWC, Cambridge […]

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HD Vest Investment Services Caught Overcharging Customers

November 30, 2016  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

HD Vest Investment Services, a broker-dealer headquartered in Irving, Texas, was censured by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm overcharged customers within mutual funds transactions, and failed to supervise the firm’s mutual funds business in order to ensure that customers received sales charge waivers when eligible for such. Letter […]

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MML Investor Services Caught Overcharging Customers

November 30, 2016  |   Posted by :   |   Failure To Supervise, Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

MML Investor Services, LLC, a broker-dealer headquartered in Springfield, Massachusetts, was censured by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm excessively charged customers concerning mutual funds transactions, and failed to have adequate supervisory procedures and protocols designed to make sure that eligible customers received waivers of sales charges. Letter of […]

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Cambridge Investment Research Stockbroker Suspended For Mutual Fund Fraud

September 09, 2016  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Robert M. Lyons, of Augusta, Georgia, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he made unsuitable recommendations to customers. Letter of Acceptance, Waiver and Consent, No. 2014040668202 (Sept. 1, 2016). According to the AWC, Lyons made recommendations and subsequently […]

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Commonwealth Funds Chief Executive Officer Barred For Misappropriation

September 09, 2016  |   Posted by :   |   Misappropriation of Funds, Mutual Fund Fraud   |   0 Comments

Kimberly Springsteen-Abbott, of Holiday, Florida, the chairman and chief executive officer of Commonwealth entities, including Commonwealth Funds, was fined $100,000.00 and barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity in connection with a FINRA National Adjudicatory Council Decision which affirmed findings that Springsteen-Abbott misappropriated investor funds. Department of […]

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UBS Financial Services Fined For Cheating Customers

August 25, 2016  |   Posted by :   |   Failure To Supervise, Mutual Fund Fraud   |   0 Comments

UBS Financial Services, Inc., was censured and fined $250,000.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm overcharged customers who purchased mutual funds, and failed to create and preserve supervisory processes to ensure that customers who were eligible for such discounts had received them. Letter of Acceptance, Waiver and Consent, […]

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Edward Jones Stockbroker Suspended For Unauthorized Trading

Seth David Lampman, of Osceola, Iowa, a stockbroker for Edward Jones, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in unauthorized trading in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2014042505601 (July 13, 2016). According […]

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Wells Fargo Stockbroker Suspended For Unsuitable Trading

Brett W. Burgesser, of Orlando, Florida, a stockbroker with Wells Fargo Advisors, LLC, was fined $5,000.00 and suspended for sixty-days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in the unsuitable switching of mutual funds in customer accounts. Letter of Acceptance, Waiver and […]

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SWS Financial Services Broker Charged With Unsuitable Trading

David Randall Lockey, of Dallas, Texas, a stockbroker with SWS Financial Services, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Lockey prompted unsuitable switching and trading of investments; while also falsifying forms pertaining to customer accounts. Department of Enforcement v. Lockey, No. 2013034954001 (Mar. 30, 2016). […]

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Lombard Securities Fined For Failure to Supervise

Lombard Securities Inc., headquartered in Baltimore, Maryland, was censured and fined $50,000.00 by Financial Industry Regulatory Authority (FINRA) pursuant to an Order Accepting Offer of Settlement containing findings that the firm committed supervisory violations pertaining to mutual fund switches, uniform investment trusts (UITs), and non-traditional exchange traded funds (ETFs); and failed to provide customers with […]

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Edward Jones Stockbroker Suspended For Unauthorized Trading

Derek Prater, of Baytown, Texas, a stockbroker with Edward D. Jones & Co., L.P., was fined $17,500.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in unauthorized trades in customer accounts; and misled his firm in the course […]

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Alton Securities Chief Executive Officer Suspended for Failure to Supervise

Matthew D. Maberry, of Alton, Illinois, was fined $10,000.00, suspended from association with any Financial Industry Regulatory Authority (FINRA) member in any capacity, and ordered to pay restitution of $38,445 after consenting to findings that he failed to supervise non-traditional exchange traded funds and made unsuitable recommendations to customers. Letter of Acceptance, Waiver and Consent, […]

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LPL Financial Stockbroker Charged with Obstructing

Eric W. Kuchel of Brea, California, a stockbroker with LPL Financial LLC, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Kuchel repeatedly delayed and failured to provide requested testimony in connection with a FINRA investigation into Kuchel’s alleged mutual fund transactions and private securities transactions. Department of […]

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American Portfolio Financial Services Broker Suspended for Mutual Fund Switching

January 21, 2016  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud, Stockbroker Fraud News   |   0 Comments

Jeffrey Davidson of Stuart, Florida, a stockbroker with American Portfolio Financial Services, was suspended from association with any Financial Industry Regulatory Authority (FINRA) member firm in any and all capacities for three months and fined $10,000 after consenting to findings that he engaged in unsuitable mutual fund switching in customer accounts. Letter of Acceptance, Waiver […]

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American Portfolios Financial Services Broker Suspended for Failure to Supervise

John D. Wiswell of Stuart, Florida, a stockbroker with American Portfolios Financial Services, was fined $5,000 and suspended for fifteen business days from association with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity after consenting to findings that she failed to supervise a Stockbroker’s conduct in order to prevent unsuitable recommendations from […]

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Barclay’s Capital Fined $3.75 Million for Failure to Supervise

Barclay’s Capital, Inc., headquartered in New York, New York, was censured and fined $3,750,000 after consenting to findings that the firm had inadequate supervisory systems and written supervisory procedures for supervising the sale of mutual funds to retail brokerage customers. Letter of Acceptance, Waiver and Consent, No. 2015044544001 (Dec. 18, 2015). According to the AWC, […]

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Quest Capital Strategies Fined for Failure to Supervise

Quest Capital Strategies, Inc. of Miami, Florida, was censured and fined $25,000 from the Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm had failed to establish adequate supervisory systems and written supervisory procedures pertaining to supervision of mutual funds sales, supervision of accounts to prevent overcharging of customers, and other compliance […]

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Stifel Nicolaus & Company Principal Suspended for Failure to Supervise

Robert N. Adrian of Memphis, Tennessee, a registered representative with Stifel, Nicolaus & Company, was fined $5,000 and suspended for forty-five days from association with any Financial Industry Regulatory Authority (FINRA) member in all principal capacities after consenting to findings that he failed to supervise a registered representative in a manner designed to detect the […]

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Stephens Inc. Overcharges Customers $150,000

November 15, 2015  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Stephens, Inc., located in Little Rock, Arkansas, was censured by Financial Industry Regulatory Authority (FINRA) for disadvantaging certain retirement plan and charitable organization customers that were eligible to purchase Class A shares in certain mutual funds without a front-end sales charge; and for failing to establish and maintain a supervisory system and procedures reasonably designed […]

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Janney Montgomery Scott Overcharges Customers $1,000,000

November 15, 2015  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Janney Montgomery Scott, located in Philadelphia, Pennsylvana, was censured by Financial Industry Regulatory Authority (FINRA) for disadvantaging certain retirement plan and charitable organization customers that were eligible to purchase Class A shares in certain mutual funds without a front-end sales charge; and for failing to establish and maintain a supervisory system and procedures reasonably designed […]

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Stifel Nicolaus & Company Overcharges Customers $2,700,000

November 15, 2015  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Stifel Nicolaus & Co., located in St. Louis, Missouri, was censured by Financial Industry Regulatory Authority (FINRA) for disadvantaging certain retirement plan and charitable organization customers that were eligible to purchase Class A shares in certain mutual funds without a front-end sales charge; and for failing to establish and maintain a supervisory system and procedures […]

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Edward Jones Overcharges Customers $12,000,000

November 15, 2015  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Edward D. Jones & Co., L.P., located in St. Louis, Missouri, was censured by Financial Industry Regulatory Authority (FINRA) for disadvantaging certain retirement plan and charitable organization customers that were eligible to purchase Class A shares in certain mutual funds without a front-end sales charge; and for failing to establish and maintain a supervisory system […]

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Five Major Brokerage Fined for Failure to Supervise Mutual Fund Fraud

November 15, 2015  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Ameritas Investment Corp., Cetera Advisors LLC, Comerica Securities, Inc., Fifth Third Securities, Inc., First Allied Securities, Inc., Park Avenue Securities, LLC, Securities America, Inc., Huntington Investment Company, Cetera Advisor Networks LLC, Commonwealth Financial Network, MetLife, and Infinex Investment, Inc., were all recently censured and fined by Financial Industry Regulatory Authority (FINRA) for failing to apply […]

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Lombard Securities Fails to Supervise Mutual Funds and Non-Traditional ETFs

Lombard Securities Incorporated was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that the firm failed to meet a myriad of supervisory responsibilities including written supervisory procedures designed to supervise the sale of leveraged, inverse, and inverse-leveraged exchange traded funds, prevent unsuitable mutual fund switching, and apply sales charge discounts to customers’ […]

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J.P. Turner Broker Charged with Fraud

September 11, 2015  |   Posted by :   |   Failure To Supervise, Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Leonard Allen Goldberg, a former registered representative with both J.P. Turner & Company, LLC, as well as Newport Coast Securities, Inc., has been charged by FINRA’s Department of Enforcement in a Complaint alleging Goldberg engaged in multiple forms of securities fraud; unsuitable mutual fund switching/trading; exercising of discretion without written authorization; falsification of electronic records, […]

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Vanguard Group alleged to have failed to report and pay $500 million of U.S. federal income tax and $10 million of New York tax

July 25, 2014  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Today the New York Attorney General Released the the False Claims Act case filed by Plaintiff-Relator David Danon against The Vanguard Group, Inc. (“VGI”), subsidiaries of VGI (collectively with VGI, “Vanguard”) and the Vanguard group of mutual funds (the “Funds”, and, collectively with Vanguard, the “Vanguard Group”). According to the unsealed complaint, Vanguard has operated […]

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Wachovia Securities Fined for Failure to Delivery Prospectuses

October 11, 2007  |   Posted by :   |   Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

NEW YORK STOCK EXCHANGE LLC NYSE HEARING BOARD DECISION 07-116 September 7, 2007 WACHOVIA CAPITAL MARKETS LLC MEMBER ORGANIZATION Violated NYSE Rule 1100(b) by failing to deliver product descriptions to customers that purchased Exchanged Traded Funds; violated NYSE Rule 342 by failing to provide for, establish, and maintain appropriate procedures of supervision and control, including […]

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