Recent Posts in the Securities Fraud Category

• Chicago Broker Bhenoy Dembla Barred by FINRA Over Falsifying Mutual Fund Sales Orders

  Feb 20, 2019
  FINRA has permanently barred Bhenoy Dembla (CRD# 4357042) over claims that he falsified documents concerning the sale of mutual funds. Dembla had been ...
  Posted By Meyer Wilson
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• Former Southern California Broker William M. Heiden Faces Claims Over Unauthorized Trades for Elderly Clients

  Feb 18, 2019
  Southern California Financial Advisor William Mark Heiden (CRD# 2885156) has been charged by the federal regulators with engaging in unauthorized ...
  Posted By Meyer Wilson
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• FINRA Bars Louisiana Advisor Kristian Gaudet Over Alleged Misuse of Client Funds, Failure to Testify

  Feb 13, 2019
  The Financial Industry Regulatory Authority (FINRA) has sanctioned and permanently barred former Louisiana Financial Advisor Kristian Guadet from the ...
  Posted By Meyer Wilson
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• New York Laidlaw & Company Advisor Kevin R. Wilson Facing Investor Complaints Over Substantial Alleged Losses

  Feb 12, 2019
  Broker-Advisor Kevin Richard Wilson (CRD# 3262701) is currently a registered securities broker with National Securities Corporation in New York City. ...
  Posted By Meyer Wilson
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• South Florida Broker-Advisor Christopher Hellman Barred by FINRA Over Alleged “Selling Away”

  Feb 11, 2019
  Christopher C. Hellman (CRD# 6584084) has been sanctioned and barred by securities industry watchdog FINRA. According to the Financial Industry ...
  Posted By Meyer Wilson
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• Investors at Risk: Government Shutdown, SEC Closure Opens Door to Fraud

  Jan 11, 2019
  As the government shutdown nears the end of its third week, the U.S. Securities and Exchange Commission is still largely inoperable. Amid the partisan ...
  Posted By Meyer Wilson
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• Illinois Investment Adviser Stephen C. Carver Faces Customer and Regulatory Complaints

  Jan 9, 2019
  The former Cetera Advisors broker ( CRD# 2230261 ) is currently facing pending complaints from securities regulators and an investor over allegations ...
  Posted By Meyer Wilson
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• Did You Lose Money Investing with Former NYLife Securities Broker Michael Norman?

  Dec 19, 2018
  Michael Norman, a former NYLife Securities broker, was recently the subject of a permanent bar from the securities industry for failing to comply with ...
  Posted By Meyer Wilson
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