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Articles Tagged with ETFs

Fred Stow (CRD#: 864436), formerly a registered representative with Raymond James & Associates in Nashville, Tennessee, is involved in a pending dispute in which a customer is alleging that he stole client funds, according to his BrokerCheck record accessed on August 9, 2019. The customer is alleging “breach of fiduciary duty, conversion, unjust enrichment, tortious […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that FINRA has sanctioned broker-dealer Oppenheimer & Company $2.25 million, in addition to ordering restitution of more than $716,000, following allegations the firm sold leveraged, inverse, and inverse-leveraged exchange-traded funds to retail customers “without reasonable supervision, and for recommending non-traditional […]

Publicly records provided by the Financial Industry Regulatory Authority (FINRA) on February 24, 2016 indicate that New York-based Chelsea Financial Services broker James Blinkhorn is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Blinkhorn (CRD# 1471559). James Blinkhorn has spent 29 […]

Based on publicly-available records provided by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, New York-based National Securities broker James Eichner is the subject of several settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing investors who have complaints regarding Mr. Eichner (CRD# 3221851). […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based LPL broker/adviser Jane Everingham, also known as Jane O’Malley. (CRD# 1727956). Jane O’Malley has spent 28 years in the securities industry and has been registered with LPL Financial in Larkspur, California since 1991. Previous registrations […]

According to records provided by the Financial Industry Regulatory Authority, Pennsylvania-based brokerage and advisory firm BestVest Investments has been sanctioned for its alleged failure to supervise transactions involving exchange traded funds (ETFs). The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding BestVest Investments (CRD# 38441829). […]

Has your broker or adviser recommended you invest in leveraged exchange-traded funds? If so, you might want to do some extra research to make sure they’re right for you. A recent piece by Investment News offers stern cautions against leveraged ETFs, warning that the product is often extremely volatile. A quick refresher: in basic terms, […]

On May 21, 2015, Broker Dealer Financial Services Corp. was fined $75,000 by the Financial Industry Regulatory Authority (FINRA) for selling unsuitable non-traditional Exchange Traded Funds (ETFs). According to the FINRA Letter of Acceptance, Waiver and Consent (AWC), between 2009 and 2012, Broker Dealer Financial Services Corp. failed to investigate non-traditional ETFs before allowing its […]

In December 2014, Leonid Yurovsky entered into a settlement with the Arkansas Securities Commissioner. According to the agreement, The Arkansas Securities Department alleged Leonid Yurovsky engaged in excessive trading and unsuitable securities sales while he was acting as an agent for two customers.

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