What is Federal Wire Fraud? Find Out What You Need to Know
If you or someone you know has been charged with wire fraud or are the target of an investigation, hiring an experienced criminal defense attorney is [...]
Increased Scrutiny of Securities Recommendations by Social Media Influencers
Securities regulators and law enforcement have stepped up their efforts in combating securities fraud through social media influencers and their recommendations. The rise of social media [...]
The SEC Files Civil Suit Against Individual for Social Media Securities Fraud
The Securities and Exchange Commission (SEC) has been focusing its attention on the use of social media as a tool for securities fraud, in the wake [...]
Social Media Driven Stock Market Frenzy – Securities Fraud In the Digital Age
GameStop Corp. (GME), AMC Entertainment Holdings (AMC) and BlackBerry Ltd. (BB) have seen their stock prices rise dramatically over the past few weeks after being the [...]
Paul F. Seymour Suspended from the Securities Industry by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser, Paul F. Seymour (CRD # 2002154) was recently suspended from the securities [...]
Serge Parakhnevich Suspended from the Securities Industry by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Serge Parakhnevich (CRD # 5493064) was recently suspended from the securities industry [...]
Christopher Duke Bennett Barred From the Securities Industry by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser, Christopher Duke Bennett (CRD # 2510231) was recently barred from the securities [...]
Chardan Capital Markets, LLC Sanctioned by FINRA for Failure to Supervise Conflicts of Interest
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Chardan Capital Markets, LLC (hereinafter “Chardan”) (CRD # 120128) was recently sanctioned [...]
Leonard Joseph Marzocco Suspended by FINRA for Excessive and Unsuitable Trading
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Leonard Joseph Marzocco (CRD # 3106494) was recently suspended from the securities [...]
Robert James McNamara Suspended by FINRA for Unauthorized Discretion in Customer Accounts
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert James McNamara (CRD # 1207495) was recently suspended from the securities [...]