SEC Charges Investment AdviserAnd Associated IndividualsWith Causing ViolationsOf RegulationSHO

WashingtonD.C. Aug. 17, 2021 — The SecuritiesAnd Exchange CommissionToday, settled charges were announced against Murchinson Ltd.; its principal. Marc Bistricer; and its trader Paul Zogala(the respondents) for providing incorrect order-marking information which caused executing brokers to violate RegulationSHO. InAdditionally, MurchinsonAnd BistricerSettlement of charges for failing to register a dealer with the SEC AccordingAccording to the …

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source https://financialadvisorcomplaints.com/sec-charges-investment-adviserand-associated-individualswith-causing-violationsof-regulationsho/

SEC Charges Pearson PLC Misleading Investors About Cyber Breach

The Securities and Exchange Commission today announced that Pearson plc London-based public company that provides educational publishing and other services to schools and universities, agreed to pay $1 million to settle charges that it misled investors about a 2018 cyber intrusion involving the theft of millions of student records, including dates of births and email …

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source https://financialadvisorcomplaints.com/sec-charges-pearson-plc-for-misleading-investors-about-cyber-breach/

Worden Capital Financial Advisor Salvatore Pizzimenti BARRED

Based on information available from recently released documents, financial advisor Salvatore Pizzimenti of Worden Capital has been barred from the Securities industry by the Financial Regulatory Authority (FINRA). This action of FINRA arises after an investigation into his customer accounts-related trading where he apparently failed to provide testimony. He was consequently barred, as also confirmed …

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source https://financialadvisorcomplaints.com/worden-capital-financial-advisor-salvatore-pizzimenti-barred/

Mark Barrand (Ameriprise Financial) Complaint Filed “FINRA”

Haselkorn & Thibaut, P.A., a national investor law firm, is investigating claims of unsuitable investment recommendations against Mark Barrand who is an investment advisor with Ameriprise Financial.  Former clients have made allegations that Barrand misrepresented investments and did follow suitability standards for clients. Mark Allen Barrand, the broker at the center of these disputes, is …

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source https://financialadvisorcomplaints.com/mark-barrand-ameriprise-financial-complaint-filed-finra/

Mutual of Omaha Advisor Matthes to Serve 63 Month Prison Term; Pay $2.4M in Restitution

The investigation into Edward E. Matthes’ activities was initiated when a client sounded off FINRA (Financial Industry Regulatory Authority) in March 2019 upon receipt of an account statement that looked fake to him. Apart from the Securities Exchange Commission (SEC), the Oconomowoc Police Department, the FBI and the Labor Department’s Employee Benefits Security Administration also …

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source https://financialadvisorcomplaints.com/mutual-of-omaha-advisor-matthes-to-serve-63-month-prison-term-pay-2-4m-in-restitution/

Kestra Investment Services Complaint: Arbitration Claim Against James Daughtry For Losses

The investment fraud attorneys at Haslkorn & Thibaut are investigating James Blake Daughtry while at Kestra Investment Services for alleged financial losses suffered by investors.  Any clients or anyone having information on James Daughtry should contact our offices immediately. About James Blake Daughtry James Daughtry, now a former broker of the firm, has been named in …

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source https://financialadvisorcomplaints.com/kestra-investment-services-complaint/

Morgan Stanley Advisor Viyella BARRED After Selling Away Allegations and Lawsuits

Morgan Stanley discharged advisor Candido Viyella in 2020 “after allegations were made accusing him of participation in an outside investment involving clients for which the registered representative had a beneficial ownership interest.” He had been associated with Morgan Stanley for 11 years prior to the discharge. Record of Candido Viyella A peek into his broker …

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source https://financialadvisorcomplaints.com/morgan-stanley-advisor-viyella-barred-after-selling-away-allegations-and-lawsuits/