Close

Articles Posted in Inc.

Updated:

FINRA Suspends And Fines Cambridge Investment Research, Inc. Broker Mark F. Leone For Making Unauthorized Trades In Customer Accounts

On June 29, 2015, Mark F. Leone (“Leone”) submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) to settle allegations made by the Financial Industry Regulatory Authority, Inc. (“FINRA”).  Currently, Leone is registered with Cambridge Investment Research, Inc.; however, FINRA alleged that while Leone was registered with Morgan Stanley, he…

Updated:

SEC Charges Veros Partners Alleging $15 Million Ponzi Scheme

  On April 22, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint in the District Court for the United States Southern District of Indiana, Indianapolis Division (the “Complaint”), against Veros Partners, Inc., Matthew D. Habb, Jeffery B. Risinger, Veros Farm Loan Holding LLC, Tobin J. Senefeld, FarmGrowCap LLC,…

Updated:

Two Former Brokers Sue UBS For its Management and Sales Practices Related to the Puerto Rico Bond Funds.

In another chapter of the continuing legal troubles facing UBS, AG and UBS Financial Services of Puerto Rico, Inc. (collectively “UBS”) for its marketing and sale of closed-end bond funds composed of Puerto Rican municipal debt (the “Puerto Rico Bond Funds”), two former UBS registered representatives, Jorge and Teresa Bravo…

Contact Us