Kurt J. Gunter, a former Stifel advisor, has agreed to pay a $10,000 fine and serve a three-month suspension from association with any FINRA member firm in any capacity.
Tagged with "eccleston"
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JPMorgan Chase Bank Agrees to Pay $250 Million Fine
Posted on November 24th, 2020 at 3:07 PM
JPMorgan Chase Bank has been fined $250 million by the Office of the Comptroller of the Currency (“OCC”).
Securities America Advisors Settles SEC Charges Related to the Sale of Volatility-Linked Exchange-Traded Products
Posted on November 23rd, 2020 at 2:58 PM
Securities America Advisors, Inc. has agreed to settle charges brought by the U.S. Securities and Exchange Commission (“SEC”).
Financial Advisor Charged with Murder
Posted on November 23rd, 2020 at 9:23 AM
Keith T. Ashley, a financial advisor who was already under an FBI investigation for an alleged Ponzi scheme, has been charged with murder.
Respondent in FINRA Enforcement Arbitration Seeks Injunction to Stop Remote Hearing
Posted on November 19th, 2020 at 9:19 AM
Alpine Securities Corp, a respondent in a FINRA Enforcement arbitration, has filed a lawsuit in federal court in Utah seeking to enjoin FINRA from holding an enforcement arbitration hearing virtually, Law360 reported.
American Portfolios Financial Services Settles SEC Charges Related to the Sale of Volatility-Linked Exchange-Traded Products
Posted on November 18th, 2020 at 12:54 PM
American Portfolios Financial Services, Inc. (“APFS”) has agreed to settle charges brought by the U.S. Securities and Exchange Commission (“SEC”).
Summit Financial Group Settles SEC Charges Related to the Sale of Volatility-Linked Exchange-Traded Products
Posted on November 16th, 2020 at 1:09 PM
Summit Financial Group, Inc. has agreed to settle charges brought by the U.S. Securities and Exchange Commission (“SEC”).
Philadelphia Man Sued for Fraud
Posted on November 13th, 2020 at 12:27 PM
In July 2020, Dean Vagnozzi settled charges brought by the U.S. Securities and Exchange Commission (“SEC”) that alleged that Vagnozzi had sold more than $32 million in unregistered securities offerings and that Vagnozzi acted as an unregistered broker.
FINRA Discusses Regulatory Focus for Registered Index-Linked Annuities
Posted on November 12th, 2020 at 2:37 PM
At a recent conference, FINRA CEO Robert Cook provided some guidance on registered index-linked annuities (“RILAs”), according to an article in ThinkAdvisor.
FINRA Suspends Former Wells Fargo Advisor
Posted on November 11th, 2020 at 8:42 AM
Former Wells Fargo advisor, David R. Oakes, agreed to serve a six-month suspension from association with any FINRA member firm in any capacity.
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