Brad Jacobson, a former broker and investment advisor at Wells Fargo, has recently been barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or associating with any broker-dealer firm. This decision by FINRA comes after Jacobson refused to provide information regarding his alleged involvement in outside business activities and the potential […]
Broker Brad Jacobson Barred by FINRA for Misconduct Read More »
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.
Merrill Lynch Faces $12M Fine for Suspicious Activity Reporting Failures Read More »
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
Did Thrivent Advisor Barry Hesse Neglect Sales Execution? Read More »
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
Ex-Broker James Anglim Pays $488K in Massive Stock Manipulation Scandal! Read More »
Joe Katzaroff, a seasoned financial advisor hailing from Irvine, California (CRD#1811119), has a lengthy record in the industry, but it has not been without controversy. A certified broker and investment adviser affiliated with UBS Financial Services, he holds Financial Industry Regulatory Authority accreditations. Despite his credentials, Mr. Katzaroff has faced scrutiny following claims by investors
$1 Million Complaint Filed Against UBS Advisor Joe Katzaroff for Suitability Issues Read More »