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LATEST NEWS AND ARTICLES

May 10, 2024
SEC Bars Financial Advisor for Securities Trading Scheme

The Securities and Exchange Commission (SEC) has barred financial advisor Andrew Komarow from the securities industry, following a similar bar by FINRA.

May 9, 2024
Colorado Cracks Down on Imposter Investment Firms

Colorado Securities Commissioner Tung Chan recently took action against two fraudulent investment firms, Joyce Dunbar Management, and Fluxia Capital Management, accusing them of deceptive practices.

May 8, 2024
J.P. Morgan Securities Ordered to Pay Damages Over Defamation Claims

J.P. Morgan Securities has been directed to pay $250,000 in damages to a New York financial advisor following allegations of defamation in a regulatory filing upon his departure from the firm in 2022.