When it comes to your investments, you trust that your financial advisor and brokerage firm have your best interests at heart. Unfortunately, that may not always be the case. That’s why it’s important to stay informed and take action if you suspect any wrongdoing or suspicious activity. Recently, Merrill Lynch, Pierce, Fenner & Smith Inc. […]

Arkansas financial advisor Barry Hesse‘s name rattled the financial world as he recently found himself on the wrong end of severe investor allegations. According to the Financial Industry Regulatory Authority (FINRA), these accusations stem from Hesse’s alleged failure to initiate sell orders on behalf of his clients, leading to unrealized market losses reaching a staggering

The US Securities and Exchange Commission has charged James P. Anglim for his role in manipulating the market. Anglim is a New Jersey resident and a former registered representative at two US-based brokerage firms. Anglim facilitated the sale of stocks in at least five publicly traded companies. The SEC filed a complaint against Anglim at