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Blog Posts in September, 2012

Merrill Lynch Fined $500,000 for Failure to File Required Reports with FINRA

After a lengthy investigation that began in 2009 into Merrill Lynch, Pierce, Fenner & Smith's self-identified failure to make timely regulatory filings, FINRA announced Monday it censured and ...
Continue reading "Merrill Lynch Fined $500,000 for Failure to File Required Reports with FINRA" »

SEC Charges Broker with Stealing to Pay Personal Expenses, Investors, Many from Santa Monica, Lose $600,000 in Ponzi Scheme

On Sept. 13 2012, the Securities and Exchange Commission (SEC) filed a complaint in federal court, charging defendants Deer Hill Financial Group, LLC and Stephen Burton Blankenship with crafting a ...
Continue reading "SEC Charges Broker with Stealing to Pay Personal Expenses, Investors, Many from Santa Monica, Lose $600,000 in Ponzi Scheme" »

Broker Fong I. Cheang Fined & Suspended for Failing to Disclose Felony Fraud Charges

The Financial Industry Regulatory Authority (FINRA) suspended broker Fong I. Cheang of Diamond Bar, California, through November of 2013 for failing to update her Form U4 to indicate she had been ...
Continue reading "Broker Fong I. Cheang Fined & Suspended for Failing to Disclose Felony Fraud Charges" »

Terminated Morgan Stanley Risk Officer Claims Retaliatiory Firing for Whistleblowing

After losing his job in April, former Morgan Stanley Smith Barney LLC risk officer, Clifford Jagodzinski, accused his firm of firing him in retaliation for exposing a high-profile Morgan Stanley ...
Continue reading "Terminated Morgan Stanley Risk Officer Claims Retaliatiory Firing for Whistleblowing" »

FINRA Bars Thomas P. Casper for Borrowing Money from Customers and Against Firm Rules

The Financial Industry Regulatory Authority (FINRA) barred broker Thomas P. Casper, formerly of Stifel, Nicolaus & Company, Inc. for borrowing money from customers and several relatives without ...
Continue reading "FINRA Bars Thomas P. Casper for Borrowing Money from Customers and Against Firm Rules" »

FINRA Bars Jason Robert Cavalier for Failure to Disclose Material Facts, Lack of Cooperation with Investigation

The Financial Industry Regulatory Authority (FINRA) barred registered principal Jason Robert Cavalier of Simi Valley, California, for allegedly willfully failing to disclose that he was a defendant in ...
Continue reading "FINRA Bars Jason Robert Cavalier for Failure to Disclose Material Facts, Lack of Cooperation with Investigation" »

FINRA Suspends Christopher Andrew Carra for Posting Allegedly Misleading Messages

The Financial Industry Regulatory Authority (FINRA) suspended broker Christopher Andrew Carra for allegedly posting excessive and misleading messages on Internet discussion boards advocating the ...
Continue reading "FINRA Suspends Christopher Andrew Carra for Posting Allegedly Misleading Messages" »

FINRA Bars Matthew Leon Bradakis for Misuse of Customer Funds, Soliciting Payment From Client For Outside Business Activity

The Financial Industry Regulatory Authority (FINRA) barred registered representative Matthew Leon Bradakis, formerly of Edward D. Jones & Co., L.P., for accepting, failing to report and converting ...
Continue reading "FINRA Bars Matthew Leon Bradakis for Misuse of Customer Funds, Soliciting Payment From Client For Outside Business Activity" »

William J. Ferry, Dennis Clinton Found Guilty in $1 Billion Investment Fraud Scheme

A federal jury found broker William J. Ferry (Newport Beach) and Dennis Clinton (San Diego) guilty of conspiracy, mail fraud and wire fraud after promoting a high-yield investment scheme, promising ...
Continue reading "William J. Ferry, Dennis Clinton Found Guilty in $1 Billion Investment Fraud Scheme" »

FINRA Suspends David Waldemar Asplund Jr. for Borrowing $50K from Customers

The Financial Industry Regulatory Authority suspended broker David Waldemar Asplund, Jr. after the State of Washington Department of Financial Institutions, Securities Division found that Asplund had ...
Continue reading "FINRA Suspends David Waldemar Asplund Jr. for Borrowing $50K from Customers" »
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