Posts in November, 2016

Nov 28 VALIC Financial Advisors, Inc. Fined $1.75 Million

The Financial Industry Regulatory Authority (FINRA) has fined VALIC Financial Advisors, Inc., a Houston-based broker-dealer, $1.75 ...

Nov 23 Investor Advice: Be Wary Of All-Or-Nothing Options

Trading binary options may seem tempting depending on your situation, but come with an extremely high level of risk due to the ...

Nov 22 Oppenheimer & Co. Sanctioned $3.4 Million for Numerous Violations

The Financial Industry Regulatory Authority (FINRA) announced on November 17 that it has ordered Oppenheimer & Co. Inc. to pay ...

Nov 21 Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud

Former Newbridge Securities Corp. broker Gerald J. Cocuzzo (CRD# 4047511) pleaded guilty to charges relating to his role in a $131 ...

Nov 14 Meyer Wilson Investigating Claims Against Former Broker Jay Gruenebaum

The securities fraud attorneys at Meyer Wilson are currently investigating claims against former broker Jay J. Gruenebaum (CRD# ...

Nov 08 Don't Forget About Your Brokerage Account Statement

Following Ameriprise Financial Services, Inc.’s failure to detect that one of their registered representatives had converted more ...