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Blog Posts in December, 2013

Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact

FINRA barred Milkie Ferguson Investments, Inc. broker Scott Schroeder of Los Angeles, California for making unsuitable recommendations to multiple elderly customers. Specifically, Schroeder allegedly ...
Continue reading "Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact" »

Bambi Holzer Barred for Unsuitable Provident Royalties Sales, Failure to Disclose and Submission of False Information

FINRA officially barred broker Bambi Iris Holzer from the securities industry this month for a series of unsuitable recommendations, gaining of supervisory approval through the use of false ...
Continue reading "Bambi Holzer Barred for Unsuitable Provident Royalties Sales, Failure to Disclose and Submission of False Information" »

Gary J. Chackman Barred for Unsuitable Non-traded REIT Transactions

FINRA barred former LPL Financial, Inc. broker Gary Chackman for recommending and effecting unsuitable non-traded real estate investment trust ("REIT") transactions in at least eight ...
Continue reading "Gary J. Chackman Barred for Unsuitable Non-traded REIT Transactions" »

Deutsche Bank Securities Fined $6.5 Million for Serious Deficiencies in Lending Program

FINRA fined Deutsche Bank Securities, Inc. $6.5 million for what it deems are "serious financial and operation deficiencies" first identified in 2009 and associated with Deutsche's ...
Continue reading "Deutsche Bank Securities Fined $6.5 Million for Serious Deficiencies in Lending Program" »

Holiday Cheer Signals Year-End Red Flags To Watch

With the end of 2013 approaching, the Digital Journal is hosting a press release reminding investors that as they review year-end investments and performances, certain red flags may appear that are ...
Continue reading "Holiday Cheer Signals Year-End Red Flags To Watch" »

Solicited Leveraged ETF Tickets Marked as Unsolicited is Risky Business

When a broker sells a leveraged exchange traded fund ("ETF") to a customer, the sale is marked as either solicited or unsolicited. A solicited sale is one that is advertised or recommended ...
Continue reading "Solicited Leveraged ETF Tickets Marked as Unsolicited is Risky Business" »

Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages

After barring adviser former MAM Securities, Inc. representative and MAM Wealth Management, LLC investment adviser Rafael R. Sanchez of Sherman Oaks, California for engaging in unethical conduct ...
Continue reading "Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages" »

Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000

FINRA fined Oppenheimer & Co., Inc. $675,000 and ordered the firm to pay over $246,000, plus interest, in restitution to customers FINRA says were charged unfair prices due, in part, to the ...
Continue reading "Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000" »

JP Turner Ordered to Pay Over $700,000 in Restitution for Unsuitable Complex ETF Sales, Excessive Switching

FINRA ordered J.P. Turner & Company, LLC to pay $707,559 in restitution to 84 customers for unsuitable leveraged and inverse exchange-traded fund ("ETF") sales and for excessive mutual ...
Continue reading "JP Turner Ordered to Pay Over $700,000 in Restitution for Unsuitable Complex ETF Sales, Excessive Switching" »

Two Ex-JP Morgan Brokers Barred for $300,000 Theft from Elderly Woman with Diminished Mental Capacity

FINRA barred former JP Morgan Chase & Co. brokers, Jimmy E. Caballero and Fernando L. Arevalo, of Palmdale, California for the alleged wrongful conversion of $300,000 from an elderly widow. The ...
Continue reading "Two Ex-JP Morgan Brokers Barred for $300,000 Theft from Elderly Woman with Diminished Mental Capacity" »

Morgan Keegan, Stephens Inc. Fined, Restitution Ordered for Inappropriate Volatile Nontraditional ETF Sales

The Arkansas Securities Department fined two FINRA member firms, Morgan Keegan & Co. (now merged into Raymond James) and Stephens Inc. a total of $40,000. In addition, the Arkansas Securities ...
Continue reading "Morgan Keegan, Stephens Inc. Fined, Restitution Ordered for Inappropriate Volatile Nontraditional ETF Sales" »
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