Tag Archives: Advisor

Advisor Dean Grant Arrested On Charges of Defrauding His Investment Clients

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dean Grant (Grant), formerly associated with M Holdings Securities, Inc. (M Holdings), and operating under the d/b/a name Dean Grant Financial and GFG Strategic Advisors was arrested … Continue reading

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SEC Names Jeffrey Dinwoodie Senior Counsel and Policy Advisor for Market and Activities-Based Risk

The Securities and Exchange Commission today announced that Jeffrey T. Dinwoodie has been appointed Senior Counsel and Policy Advisor for Market and Activities-Based Risk.  Chairman Jay Clayton has created this senior officer position to manage and coordinate the agency’s efforts to … Continue reading

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A note from Dean Michael Scharf, Founder and Editorial Board Advisor of War Crimes Prosecution Watch, on Case Western Reserve University’s new International Criminal Law LLM Program

As documented by the developments covered in the War Crimes Prosecution Watch (WCPW) e-newsletter, international criminal law has become one of the fastest growing and highest profile areas of law.  Taught by leading experts in the field, the Case Western … Continue reading

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Advisor Dudley Stephens Accused of Churning and Unapproved Product Sales

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dudley Stephens (Stephens), formerly associated with Coastal Equities, Inc. (Coastal Equities), in September 2018, was sanctioned and barred from the securities industry by FINRA due to failures … Continue reading

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Ex-UBS advisor gets 9 years in prison for $3.7M fraud | On Wall Street

The former broker bilked more than a dozen former clients over an eight-year period, prosecutors said.https://onwallstreet.financial-planning.com/news/ex-ubs-advisor-gets-9-years-in-prison-for-37m-fraud Read more detail on Recent Banking and Finance Law posts –

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