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UBS Wealth Management USA has won an arbitration case in the latest dispute over its investment strategy known as Yield Enhancement Strategy (YES), according to AdvisorHub. A panel of Financial Industry Regulatory Authority arbitrators sided with UBS in a complaint...
Prosecutors announced the indictment of a barred New York investment broker accused of stealing from clients in a stock fraud scheme, reports InsuranceNewsNet. 57-year-old Peter Quartararo of Glen Cove, Long Island was arraigned earlier this month on five counts of...
The Securities and Exchange Commission announced its latest step aimed at protecting investors by issuing an update to its list of Public Alert: Unregistered Soliciting Entities (PAUSE) The PAUSE Program lists firms that falsely claimed to be registered, licensed,...
A former banker for Goldman Sachs has been sentenced to prison after being convicted of helping to embezzle billions of dollars from Malaysia’s 1MDB development fund, reports Financial Advisor. 51-year-old Roger Ng was sentenced last week in federal court to 10 years...
The Certified Financial Planner Board of Standards has imposed an interim suspension on a Pennsylvania financial advisor. The CFP Board announced that Kenwyn J. Belkot had his right to use the CFP® certification marks suspended effective as of February 1, 2023. The...
The Financial Industry Regulatory Authority announced it is penalizing Webull Financial LLC for violations in its procedures for approving customers for options trading. FINRA announced a fine of $3 million against the firm after finding it did not exercise reasonable...
A Virginia financial advisor has been charged with engaging in a fraudulent investment scheme, according to Investment News. The Securities and Exchange Commission detailed the charges against Ryan R. Riley in a complaint filed in U.S. District Court for the Eastern...
The top executive of a health care treatment company has been charged with carrying out an insider trading scheme, the Securities and Exchange Commission announced. Terren S. Piezer, Executive Chairman of California-based Ontrak, Inc., was accused of fraudulently...
The Securities and Exchange Commission has charged a pair of twin brothers from the New York area with swindling clients out of over $5 million through fraudulent activities, reports Financial Advisor. The SEC filed a complaint in federal court for the Eastern...
A father and son duo of financial advisors who worked together at a firm in Pennsylvania have been charged with fraud, the Securities and Exchange Commission announced. The charges were filed against 66-year-old Kevin Kane and 36-year-old Sean Kane, who were...
