Tony  Bingham

Tony Bingham

Of Counsel

Tony earned his law degree from Gonzaga University School of Law and has practiced law in Arizona for over 30 years. He began his legal career with the Maricopa County Public Defender’s Office as a criminal defense attorney, and then practiced law with the Securities Division of the Arizona Corporation Commission as an Enforcement Attorney. Before attending law school, Tony passed the Series 7 and the Series 63 securities license exams.


Tony focuses much of his practice on representing investors as well as financial advisors and other individuals in investigations and prosecutions by the Securities Division of the Arizona Corporation Commission and by FINRA (Financial Industry Regulatory Authority).

 

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You guys are good!

Mike L.

LATEST NEWS AND ARTICLES

February 6, 2026
Delaware Regulators Fine Kovack Advisors $985,000

Kovack Advisors Inc., the registered investment adviser affiliate of independent broker-dealer Kovack Securities Inc., agreed to pay a $985,000 fine to Delaware securities regulators.

February 5, 2026
FINRA Fines Broker-Dealer for Repeated Form CRS Disclosure Failures

The Financial Industry Regulatory Authority (FINRA) fined VSI Securities Inc., formerly known as Venecredit Securities Inc., $20,000 for failing to accurately disclose the firm’s disciplinary history in its customer relationship summary, known as Form CRS.

February 4, 2026
Investor Redemptions Rise in Nontraded BDCs Amid Credit Concerns

Financial advisors and their clients have increased redemptions from nontraded business development companies (BDCs) following a series of high-profile corporate bankruptcies, according to InvestmentNews. The surge highlights growing investor concern about liquidity and credit exposure within these high-yield but often risky investment ...