Justin Maher agreed to a 12-month suspension for not informing Northwestern Mutual of his involvement in co-founding a crypto asset eventually promoted by Kim Kardashian, Paul Pierce, Floyd Mayweather Jr. and other...
The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall...
The accusations against five of the firm’s reps arrives several months after FINRA barred the firm from the industry for numerous alleged violations, including against the SEC's Regulation Best Interest rule.
Former broker Megurditch Patatian allegedly recommended 81 purchases totaling more than $7.8 million of the high-risk product over the course of several years, according to regulators.
Patrick “Pat” Ricketts and Mindy Helfrich of Vintage Financial Group have more than four decades of total industry experience and have worked together for more than 10 years.
Vista Financial Advisors registered in 2021 and soon claimed it managed more than $11.5 trillion—with a "T"—with no evidence of any legitimate assets at all, according to the commission.
