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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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