Tag Archives: Securities

Another Look at 2017 Securities Litigation Against Life Sciences Companies

As I have previously noted, the elevated number of securities class action lawsuits against life sciences companies was an important factor in the increase of securities lawsuit filings in 2017. The significant volume of securities suits involving life sciences companies … Continue reading

Posted in Securities Law | Tagged , , , , , , , , | Leave a comment

NY Financial Advisor Steven Pagartanis Barred from Securities Industry

Steven Pagartanis –Cadaret, Grant & Co. According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred New York Financial Advisor Steven Pagartanis from the securities industry for allegedly failing to appear for on-the-record testimony on April 10, 2018. … Continue reading

Posted in Securities Law | Tagged , , , , , , | Leave a comment

Park Avenue Securities – Censured & Fined for Supervisory Issues

FINRA Fines Park Avenue Securities $300,000 over Variable Annuity Sales According to a Letter of Acceptance, Waiver & Consent, The Financial Industry Regulatory Authority Inc. has censured Park Avenue Securities and fined the firm $300,000 for problems in its supervision … Continue reading

Posted in Securities Law | Tagged , , , , , , , | Leave a comment

The SEC Orders PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management Inc. to Pay $12 Million to Harmed Clients

On April 6, 2018, the Securities and Exchange Commission (“SEC”) announced that three investment advisors, PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management (the “Advisors”) have settled charges with the SEC. The Advisors paid $12 million in … Continue reading

Posted in Securities Law | Tagged , , , , , , , , , , , | Leave a comment

Bill Fenwick-First Kentucky Securities Corp. – Discloses $20M Customer Dispute-Louisville, KY

April 2018-Louisville, KY The FINRA records of  William C. (Billy)  Fenwick Jr.  ,  Senior VP and Board member of  First Kentucky Securities Corporation disclose two pending customer disputes and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses … Continue reading

Posted in Securities Law | Tagged , , , , , , , , | Leave a comment