Recently, Stephany McLaughlin shared her thoughts on former Southwest Securities adviser Kimberly Rose and her journey through arbitration.
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Recently, Stephany McLaughlin shared her thoughts on former Southwest Securities adviser Kimberly Rose and her journey through arbitration.
Stephany McLaughlin, along with Howard Suskin, Retired Judge David Coar and Retired Judge Allen Goldberg gave a presentation at the Chicago Bar Association discussing Arbitration both from policy and practical perspectives at the Chicago Bar Association.
The Financial Industry Regulatory Authority (FINRA) has levied a $15,000 fine and a 21-month suspension against a former advisor, Jeffrey W. Davidson, based in Austin, Texas. Davidson engaged in fundraising activities that raised over $10 million for a fitness company owned by him and his wife.
A 46-year industry veteran from Braintree, Massachusetts, Timothy W. Leveroni, has settled a disciplinary matter by the Financial Industry Regulatory Authority (FINRA) for falsifying signatures, per a settlement agreement known as an Acceptance Waiver and Consent (“AWC”).
The Securities and Exchange Commission (SEC) has filed fraud charges against Jesus Rodriguez, accusing him of misappropriating nearly $3.5 million from at least 10 brokerage account holders and advisory clients.