Modern-Day Pyramid Schemes: San Diego Business Leader Convicted of $400 Million Ponzi Scheme
A San Diego businesswoman who pled guilty to defrauding investors of hundreds of millions of dollars has officially been sentenced to 15 years in federal …
FINRA Disciplinary Action July 2021
MATTHEW R. LOGAN (CRD #5366984, MONTEPELIER, VERMONT) June 30, 2021 – An OHO decision became final in which Logan was barred from association with any …
A Timeline of Robinhood’s Legal and Regulatory Stumbles
Updated June 30, 2021. Robinhood, the stock trading startup valued at $11.7 billion, has seen as much volatility as the equities market it allows its …
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FINRA Disciplinary Actions June 2021
WILLIAM EDWARDS ELLIS (CRD #6770635, WESTLAKE, TEXAS) May 25, 2021 – An AWC was issued in which Ellis was barred from association with any FINRA …
A TOAST TO OUR FIRST FIVE YEARS
May 3, 2021 – Los Angeles, California This month, Girard Bengali, APC proudly celebrates its 5th Anniversary. From our Los Angeles headquarters established in 2016, we …
FINRA Disciplinary Actions May 2021
CANDIDO JOSE VIYELLA (CRD #1829255 , MIAMI, FLORIDA) May 10, 2021 – An AWC was issued in which Viyella was barred from association with any …
FINRA Disciplinary Actions April 2021
CHARLES THOMAS STEVENS (CRD #1698058, ST. AUGUSTINE, FLORIDA) March 26, 2021 – An OHO decision became final in which Stevens was barred from association with …
Shareholder Alert: uBiome Co-Founders Charged with Defrauding Investors of $60 Million
There’s a thrill to finding an interesting new startup in which to invest. The internet has made it easier than ever for innovators to connect …
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Raymond Alagao Velasco, Sr. | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062922001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond Alagao Velasco, …
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Jason V. McHenry | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068649401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason V. McHenry …