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Blog Posts in June, 2013

STS, Fuad Ahmed Ponzi Scheme results in Million Dollar Losses for NFL, NBA Athletes Who Invested with Jade Wealth Management

When FINRA accused Fuad Ahmed and his firm Success Trade Securities ("STS") of an $18 million fraudulent scheme, the findings stated that STS sold sham promissory notes to multiple ...
Continue reading "STS, Fuad Ahmed Ponzi Scheme results in Million Dollar Losses for NFL, NBA Athletes Who Invested with Jade Wealth Management" »

Donald Wayne Hastings Barred for Improperly Placing Elderly Customer's Funds in Business Account

FINRA barred former Allstate Financial Services LLC broker Donald Wayne Hastings for placing customer funds in his business account, allegedly without permission or approval from his supervisor, firm ...
Continue reading "Donald Wayne Hastings Barred for Improperly Placing Elderly Customer's Funds in Business Account" »

SEC Approves FINRA Request to Publish Detailed Disciplinary Complaints and Decisions

The SEC approved a proposal that will allow FINRA to publicly release copies of all disciplinary complaints or decisions it issues, including the names of parties involved. Previously, FINRA was ...
Continue reading "SEC Approves FINRA Request to Publish Detailed Disciplinary Complaints and Decisions" »

Arbitrator Indictment Spotlights Importance of Conducting Due Diligence in Arbitration

A FINRA arbitrator's arrest and subsequent indictment led to an industry policy change while simultaneously highlighting the great importance of adequate due diligence when it comes to ...
Continue reading "Arbitrator Indictment Spotlights Importance of Conducting Due Diligence in Arbitration" »

Steven Robert Aron Barred for Failure to Disclose Information Related to Outside Business Activities

FINRA barred former Financial West Group broker Steven Robert Aron of Agoura Hills, California after allegedly soliciting investments for private securities while failing to notify his employing firm ...
Continue reading "Steven Robert Aron Barred for Failure to Disclose Information Related to Outside Business Activities" »

Randy Jason Schneider Barred and Ordered to Pay Restitution for Misappropriation of Elderly Customer's Funds and Earnings

FINRA barred former Oppenheimer & Co. Inc. broker Randy Jason Schneider for allegedly misappropriating checks and bonds from two elderly customers. It additionally ordered Schneider pay at least ...
Continue reading "Randy Jason Schneider Barred and Ordered to Pay Restitution for Misappropriation of Elderly Customer's Funds and Earnings" »

Advice on Air: Misleading Advertising, Broker Misconduct and the Radio

Over the past decade, FINRA has been active in regulating firms' and brokers' advertising communications with the public. For instance, FINRA Rules 2212 (use of rankings in retail ...
Continue reading "Advice on Air: Misleading Advertising, Broker Misconduct and the Radio" »

SEC & FINRA Joint Alert: Beware Pump-and-Dump Scams via E-mail Spam

The SEC and FINRA are warning investors of dangerous investment-related e-mail spam that promotes a securities fraud scheme known as "pump-and-dump." In the alert, regulators warn of ...
Continue reading "SEC & FINRA Joint Alert: Beware Pump-and-Dump Scams via E-mail Spam" »

FINRA Investor Alert: Alternative Mutual Funds Can Carry Added Risks

FINRA issued an industry-wide alert to investors regarding alternative mutual funds, which are separate and distinct from what FINRA describes as "typical" mutual funds. Alternative mutual ...
Continue reading "FINRA Investor Alert: Alternative Mutual Funds Can Carry Added Risks" »

Francis Martin Florey Barred for Attempting to Transfer Elderly Customer's Funds without Authorization

The Financial Industry Regulatory Authority barred broker Francis Martin Florey for attempting to transfer $116,369 from an elderly customer's bank account by impersonating the customer, and ...
Continue reading "Francis Martin Florey Barred for Attempting to Transfer Elderly Customer's Funds without Authorization" »

Jeffrey Stephen Geraci Suspended, Ordered to Pay Retired Widow Restitution for Unsuitable Recommendations

FINRA suspended Jeffrey Stephen Geraci and ordered him to pay $50,000 in restitution to a customer for making an unsuitable recommendation of an MICG Wealth Management, LLC speculative private ...
Continue reading "Jeffrey Stephen Geraci Suspended, Ordered to Pay Retired Widow Restitution for Unsuitable Recommendations" »

Hugh Monroe Dyson, Jr. Censured, Barred and Ordered to Pay Restitution in Connection with False Representations, Phony IRS Forms and Reports

FINRA censured and barred former H&R Block financial advisor and Ameriprise Financial Services, Inc. general securities representative Hugh Monroe Dyson, Jr. for allegedly soliciting seven ...
Continue reading "Hugh Monroe Dyson, Jr. Censured, Barred and Ordered to Pay Restitution in Connection with False Representations, Phony IRS Forms and Reports" »

FINRA Orders Wells Fargo and Merrill Lynch to Pay $5.1 Million for Unsuitable Mutual Fund Sales

FINRA fined Wells Fargo Advisors, LLC and Merrill Lynch, Pierce, Fenner & Smith Inc. $1.25 million and $900,000 respectively and ordered both firms to pay over $3 million in restitution to clients ...
Continue reading "FINRA Orders Wells Fargo and Merrill Lynch to Pay $5.1 Million for Unsuitable Mutual Fund Sales" »

SAC Capital Stops Cooperating with Government Investigation as DOJ Ramps Up Probe, Investors Flee

After SAC Capital and founder Steven A. Cohen settled its insider trading lawsuit for a reportedly record-$616 million in March ( see: SAC Capital Lawsuit Settled; Firm to Pay Record $616 Million for ...
Continue reading "SAC Capital Stops Cooperating with Government Investigation as DOJ Ramps Up Probe, Investors Flee" »
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