FINRA Bars Former LPL Rep for Converting $1.73 Million From Two Clients

September 29, 2026

Concorde-Affiliated Fortitude Grows DST Team, Extends Western Reach

September 22, 2026

FINRA Suspends Spartan Capital Broker Over Reg BI Violation

August 28, 2026

FINRA Fines Boston Brokerage $125K Over Willful Form CRS Violation

August 26, 2026

Smart Glasses, Dumb Move: FINRA Bars Rep for Cheating His Way Through Series 6

August 20, 2026

Dual Registration Hits Majority Among FINRA Reps in 2026 Snapshot

June 1, 2026

Sponsored: Unlocking Value – How Non-Cash Investment Opportunities May Drive Client Growth and Enhance Adviser Practices

April 6, 2025

Former LPL Rep Receives Final Judgement for Client Theft

November 14, 2022

Cove Capital Names Vice President and Head of Wholesale Distribution

August 3, 2022

Charges Added Against Former LPL Rep Accused of Stealing $1.4 Million from Elderly Clients

February 3, 2022

Former Merrill Lynch Broker Sentenced to Seven Years for Defrauding Investors

December 8, 2021

FINRA Bars Broker Accused of Stealing from Elderly Client

August 23, 2021

FINRA Bars Former Wells Fargo Rep Accused of Transferring Client Funds to His Bank Account

July 13, 2021

FINRA Bars Longtime Broker for Failing to Cooperate with Investigation

June 29, 2021

Former LPL Broker Arrested and Charged with Defrauding Elderly Clients

June 14, 2021

Former Cetera Broker Sentenced to Federal Prison for Fraud

June 7, 2021

Former Lincoln/LPL Rep Admits to Stealing More Than $600,000 from Elderly Client

May 14, 2021

FINRA Bars Former LPL Broker

May 11, 2021

FINRA Fines and Suspends Former LPL Broker for Borrowing Money from Client

April 30, 2021

FINRA Fines Securities America for Violating Customer Privacy

February 25, 2021