Investor Alert – Victoria Vandyke and Corinthian Partners, LLC

Investor Alert – Victoria Vandyke and Corinthian Partners, LLC

The Financial Industry Regulatory Authority recently entered into a settlement with Corinthian Partners, LLC relating to claims that Corinthian failed to supervise sales of non-traditional exchange-traded products (“ETPs”) by its former registered representative Victoria Vandyke. Non-traditional ETPs include leveraged and inverse leveraged exchange-traded notes and exchange traded funds (“ETFs”). According…

Investor Alert – Douglas Anthony Leone and Salomon Whitney Financial

Investor Alert – Douglas Anthony Leone and Salomon Whitney Financial

The Financial Industry Regulatory Authority recently barred stock broker Douglas Leone of Melville, New York from the securities brokerage industry after Leone refused to cooperate with the self-regulator’s investigation into allegations that Leone made unsuitable investment recommendations to customers and churned customer accounts. One of the affected customers has initiated legal proceedings against…