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The Securities and Exchange Commission today announced that New York-based hedge fund adviser Philip A. Falcone and his advisory firm Harbinger Capital Partners have agreed to a settlement in which they must pay more than $18 million and admit wrongdoing. Falcone also agreed to be barred from the securities industry for at least five years. […]
A Financial Industry Regulatory Authority hearing panel has hit Wedbush Securities with a $300,000 fine, and issued its president and founder, Ed Wedbush, a 31-day suspension along with a $25,000 fine. The August 2nd decision is a culmination of a range of offenses, inquiries and disciplinary actions dating back over a decade to February of […]
Mars FX was a hedge fund founded in 2020 and operated through Novus Capital Partners out of the Los Angeles area. It marketed itself on a track record that, in hindsight, contained one of the oldest warning signs in finance: reported average annual returns of roughly 19% with virtually no losing months. The fund described […]
When a stockbroker’s improper or unsuitable advice has already cost you money, the goal is no longer to vet a future advisor — it is to investigate the one who failed you. That investigation should begin with FINRA BrokerCheck. This guide shows harmed investors exactly how to use BrokerCheck effectively after losses occur, what evidence […]
If you are a registered representative with a customer complaint on your CRD record, there is one question that tops every other: how long does FINRA expungement take? The honest answer depends on which pathway applies to your situation, how early you begin the process, and whether you have experienced securities counsel guiding each step. […]