FINRA Disciplinary Actions January 2021
DUSTIN PAUL SCHAFER (CRD #4198962, NEW YORK, NEW YORK) January 7, 2021 – An AWC was issued in which Schafer was barred from association with …
DUSTIN PAUL SCHAFER (CRD #4198962, NEW YORK, NEW YORK) January 7, 2021 – An AWC was issued in which Schafer was barred from association with …
DAVID ALAN STATEMAN (CRD #5530638, MIAMI, FLORIDA) December 1, 2020 – An AWC was issued in which Stateman was barred from association with any FINRA …
GIRARD BENGALI, APC IS PROUD TO ANNOUNCE ROBERT J. GIRARD II, ESQ. HAS BEEN ELECTED TO THE PIABA BOARD OF DIRECTORS Los Angeles, CA (Nov. …
October 30, 2020 – A finance industry regulator, Financial Industry Regulatory Authority (FINRA), has barred former NBP Financial Group advisor Cynthia Cowden (née Case) from …
Girard Bengali, APC, Investigating Cynthia Cowden and NBP Financial Group, LLC Read More »
This post was written and published by Bloomberg on August 18, 2020: E*Trade Hit With Lawsuit After Investors Burned by Subzero Oil By Catherine Ngai …
Bloomberg | E*Trade Hit With Lawsuit After Investors Burned by Subzero Oil Read More »
Imagine losing more than $800,000 investing. Now, imagine losing $800,000 investing in just two weeks. Recently, The Wall Street Journal featured the story of William …
ETN Investors: Skydiving Without a Parachute in COVID-19 Economic Freefall Read More »
The era of rogue brokers is not extinct. Between July 2016 and November 2018, Frank Venturelli’s trading caused three customers to lose $373,226 while generating …
Finra Hits High-Turnover Broker with Excessive Trading Sanction Read More »
While the COVID-19 pandemic has had an adverse effect on the global economy as a whole, it is taking an even greater toll on certain …
Caribbean Debt Crisis during The Pandemic: Why No Bailout Is in Sight Read More »
Girard Bengali, APC, is pleased to announce that on Tuesday, June 16, 2020, partner Omar Bengali will be moderating a PIABA Virtual Event that teaches …
Litigation Release No. 24817 / May 13, 2020 Securities and Exchange Commission v. Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. …
SEC Charges Investment Adviser and Principals for Breaching Fiduciary Duties Read More »