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Financial advisor John Matson of Manhattan Beach, California, was recently barred from the securities brokerage industry for failing to cooperate with a regulatory investigation into allegations that he committed sales practice violations. The investigation reportedly related to allegations that Matson had issued a promissory note to an 80-year old customer and ceased making the required…
Financial advisor Leonid Yurovsky has been suspended from the securities brokerage industry for 5 months by industry self-regulator FINRA after an investigation led to findings that Yurovsky excessively and unsuitably traded two customer accounts. Yurovsky has been associated with the brokerage firm Joseph Stone Capital since 2016. According to FINRA, Yurovsky…
On February 4, 2021, the SEC filed a complaint against GPB Capital and various related entities and individuals alleging that the defendants had been perpetrating a massive fraudulent scheme using a network of feeder funds. As explained in the complaint, GPB Capital held itself out to the investing public as…
In the past six months, at least two customers of financial advisor Jeffrey Eglow of Boca Raton, Florida have filed complaints alleging that Eglow gave them negligent investment advice. They have also alleged that Eglow breached his fiduciary duties. Eglow is currently associated with the brokerage firm Newbridge Securities Corp. He was previously associated with…