Trading of Short- Term Unit Investment Trusts Ends with Suspension and Fines

By Tom Costello of Costello Law Group FINRA suspended ex LPL broker, Mark Tauzin, from the securities industry for eight months for unsuitable short-term trading of unit investment trusts (UITs). F…

Broker Barred for Non-Compliance with FINRA Rules

By Tom Costello of Costello Law Group Henry Al Dean Watson, a former Hillard Lyons broker, was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in unauthorized t…

Texas Firm and Founding Member Suspended for Five Years

By Tom Costello of Costello Law Group posted in Securities on Monday, April 10, 2017. Jens Pinkernell and his firm J. Pinkernell Global Wealth was suspended for five years by the Texas Securitie…

Commonwealth of Massachusetts Charges Advisor for Operation Ponzi Scheme

By Tom Costello of Costello Law Group The Secretary of the Commonwealth in Massachusetts, William Galvin, charged Stephen Eubanks for engaging in a Ponzi scheme. Eubanks solicited customers to pu…

Broker Barred for Borrowing $300k from Clients

By Tom Costello of Costello Law Group A former Morgan Stanley broker, Jeffrey Hunter Smith, was barred from the securities industry by FINRA for borrowing money from clients. Smith was registered…

Broker Wires $370k from Family Accounts

By Tom Costello of Costello Law Group As a result of allegedly missing numerous red flags of broker misconduct, FINRA fined Ameriprise $850,000. The fine was imposed as a result of Ameriprise man…

Executive Pleads Guilty to Defrauding Investors out of $38 million

By Tom Costello of Costello Law Group Andrew Caspersen, a former Park Hill Group executive, has agreed to a settlement with the SEC that bars him from the securities industry. Caspersen also plea…

Logos Wealth Advisor Founder and Fund Manager Barred by SEC

By Tom Costello of Costello Law Group Paul Mata and David Kayatta, operators of Logos Wealth Management, were barred from the securities industry by the SEC. According to the SEC, Mata and Kayatt…

Churning Costs Firm $2 million

By Tom Costello of Costello Law Group Greg Caldwell, the founder of Caldwell International Securities, was barred from the financial industry by FINRA for allegedly churning customers’ acco…

Ex Eagles Player in Trouble with the SEC

By Tom Costello of Costello Law Group The Securities and Exchange Commission filed a complaint against former Philadelphia Eagle, Merrill Robertson, Jr., and his partner Sherman Vaughn. The SEC b…

Trading of Short- Term Unit Investment Trusts Ends with Suspension and Fines

Broker Barred for Non-Compliance with FINRA Rules

Texas Firm and Founding Member Suspended for Five Years

By Tom Costello of Costello Law Group posted in Securities on Monday, April 10, 2017. Jens Pinkernell and his firm J. Pinkernell Global Wealth was suspended for five years by the Texas Securitie…

Commonwealth of Massachusetts Charges Advisor for Operation Ponzi Scheme

By Tom Costello of Costello Law Group The Secretary of the Commonwealth in Massachusetts, William Galvin, charged Stephen Eubanks for engaging in a Ponzi scheme. Eubanks solicited customers to pu…

Broker Barred for Borrowing $300k from Clients

By Tom Costello of Costello Law Group A former Morgan Stanley broker, Jeffrey Hunter Smith, was barred from the securities industry by FINRA for borrowing money from clients. Smith was registered…

Broker Wires $370k from Family Accounts

By Tom Costello of Costello Law Group As a result of allegedly missing numerous red flags of broker misconduct, FINRA fined Ameriprise $850,000. The fine was imposed as a result of Ameriprise man…

Executive Pleads Guilty to Defrauding Investors out of $38 million

By Tom Costello of Costello Law Group Andrew Caspersen, a former Park Hill Group executive, has agreed to a settlement with the SEC that bars him from the securities industry. Caspersen also plea…

Logos Wealth Advisor Founder and Fund Manager Barred by SEC

By Tom Costello of Costello Law Group Paul Mata and David Kayatta, operators of Logos Wealth Management, were barred from the securities industry by the SEC. According to the SEC, Mata and Kayatt…

Churning Costs Firm $2 million

By Tom Costello of Costello Law Group Greg Caldwell, the founder of Caldwell International Securities, was barred from the financial industry by FINRA for allegedly churning customers’ acco…

Ex Eagles Player in Trouble with the SEC

By Tom Costello of Costello Law Group The Securities and Exchange Commission filed a complaint against former Philadelphia Eagle, Merrill Robertson, Jr., and his partner Sherman Vaughn. The SEC b…

Costello Law Group Professional Malpractice

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Trading of Short- Term Unit Investment Trusts Ends with Suspension and Fines

Broker Barred for Non-Compliance with FINRA Rules

Texas Firm and Founding Member Suspended for Five Years

Commonwealth of Massachusetts Charges Advisor for Operation Ponzi Scheme

Broker Barred for Borrowing $300k from Clients

Broker Wires $370k from Family Accounts

Executive Pleads Guilty to Defrauding Investors out of $38 million

Logos Wealth Advisor Founder and Fund Manager Barred by SEC

Churning Costs Firm $2 million

Ex Eagles Player in Trouble with the SEC

Trading of Short- Term Unit Investment Trusts Ends with Suspension and Fines

Broker Barred for Non-Compliance with FINRA Rules

Texas Firm and Founding Member Suspended for Five Years

Commonwealth of Massachusetts Charges Advisor for Operation Ponzi Scheme

Broker Barred for Borrowing $300k from Clients

Broker Wires $370k from Family Accounts

Executive Pleads Guilty to Defrauding Investors out of $38 million

Logos Wealth Advisor Founder and Fund Manager Barred by SEC

Churning Costs Firm $2 million

Ex Eagles Player in Trouble with the SEC

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