Former Morgan Stanley Broker Pleads Guilty to $6M Fraud
Last month, Michael Barry Carter (CRD 3232017) plead guilty in [...]
SEC Gets $2.8M Judgment in Ponzi Scheme Case
Last week, the SEC obtained judgments against two men who [...]
FINRA SANCTIONS FORMER APPRENTICE CONTESTANT
Last week, FINRA sanctioned Mark Lamkin, a financial advisor based [...]
Wife of Towson Ponzi Scheme Conspirator Receives Harsh Sentence
Last month, Amanda Merrill of Towson, Maryland, the wife [...]
FINRA Awards Former MLB Outfielder $1.7 Million
Last week, a FINRA arbitration panel awarded a former [...]
SEC Fines MetLife $10 Million
Last week, MetLife, Inc. agreed to pay the Securities [...]
Maryland Court Upholds Sanctions Against “Money Guys” Adviser
Earlier this month, the Maryland Court of Special Appeals upheld [...]
Raymond James’ Customers Awarded $3.2 Million
A FINRA arbitration panel ordered Raymond James & Associates, Inc. [...]
GPB Capital Officer Charged with Stealing Information from SEC
The Department of Justice has charged Michael Cohn, former Chief [...]
States Sue SEC Over Best Interest Rule
Last month, attorneys general from seven states filed suit against [...]