Berkshire Global Advisors Failed to Monitor Employee Trading Accounts Corporate Misconduct Accountability Project Berkshire Global Advisors LP · Regulatory Settlement Berkshire Global Advisors Failed to Monitor Employee Trading Accounts For years, the firm failed to track outside brokerage accounts held…
Financial Fraud FINRA Case No. 2022074855301 Market Transparency Bank of America Failed Market Transparency and Still Walked Away With a Slap on the Wrist EvilCorporations.com • FINRA AWC No. 2022074855301 • 7 min read TL;DR BofA Securities, Inc., Bank of…
EvilCorporations.com • FINRA AWC No. 2022075315401 • 9 min read Ceros Financial Services:They Moved Your Money After Changing the Rules When the terms of three investment offerings were quietly rewritten mid-raise, Ceros Financial Services did not stop, notify investors, or…
EvilCorporations.com • AWC No. 2020066754701 • 11 min read Wall Street Access Ran 1,900 Illegal Trades. FINRA Found Out Two Years Later. A broker-dealer in New York spent 18 months cutting corners on the rules that protect investors from getting…
Investigative Report • Fixed Income Markets • FINRA AWC No. 2020065254901 Dirty Timestamps: How MarketAxess Corrupted Bond Market Data for 15 Years and Walked Away With a $180,000 Slap EvilCorporations.com • FINRA AWC No. 2020065254901 • 10 min read TL;DR…
Financial Misconduct • FINRA Enforcement The Firm That Decided Dirty Money Was Someone Else’s Problem Young America Capital LLC wrote into its own rulebook that it had no obligation to watch for money laundering. Then it kept those words in…
FINRA Enforcement • AWC No. 2021072581901 • Accepted January 22, 2025 They Hired Influencers to Sell Brazilian Investors a Lie EvilCorporations.com • FINRA AWC No. 2021072581901, Avenue Securities LLC, Accepted Jan. 22, 2025 • 14 min read TL;DR Avenue Securities…
Financial Fraud • Market Integrity • Regulatory Capture Who Watches the Watchmen? FINRA Fails to Deter IAA’s Market Misconduct EvilCorporations.com • AWC No. 2023077021801 / CRD No. 10645 • 7 min read TL;DR International Assets Advisory, LLC (IAA), a retail…
FINRA Enforcement • AWC No. 2022076365001 • Wall Township, NJ CIM Securities and the Exploitation Machine of Deregulated Finance EvilCorporations.com • FINRA AWC No. 2022076365001 • 14 min read TL;DR CIM Securities, LLC, a small New Jersey brokerage firm, sold…
Financial Misconduct How Hovde Group Let Market Integrity Collapse Behind Closed Doors EvilCorporations.com • AWC No. 2024080106601 • 7 min read TL;DR Hovde Group, LLC, a FINRA-registered investment banking firm based in Inverness, Illinois, went nearly four years without reviewing…