May 9, 2018

Stacy E. Cheney-Jamison, Ex-CUNA and IFS Broker, Accused of Theft by Investors

Update: On June 19, 2018, the Securities and Exchange Commission (SEC) filed charges against Christopher Parris and United RL Capital Services, as well as four other individuals and Percipience Global Corporation and First Nationale Solution, accusing them of being involved in a massive Ponzi scheme bilking 637 investors out of $102 million. On May 8,

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Vaughn Lee Andrews-McKay, Ex-Pruco Securities Broker, Barred for Alleged Theft from Clients

On May 9, 2018, FINRA announced that it barred securities broker Vaughn Lee Andrews-McKay from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Andrews-McKay after finding he converted funds from

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Fifth Third Securities Fined $4 Million for Exchanges of Variable Annuities

On May 8, 2018, the Financial Industry Regulatory Authority (FINRA) announced that it fined Fifth Third Securities, Inc. $4 million.  FINRA, the self-regulator of securities brokerages, levied the fine in connection with its investigation of Fifth Third’s variable annuities exchanges occurring from 2013 through 2015. FINRA also ordered Fifth Third to pay a total amount

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