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Blog Posts in November, 2013

Paul David Arnold Barred for Misappropriating $242,000 from Elderly Customer's Brokerage Account

FINRA barred registered principal Paul David Arnold for the alleged misappropriation of $242,000 from an elderly customer's brokerage account to a bank account. Though the OHO did not order ...
Continue reading "Paul David Arnold Barred for Misappropriating $242,000 from Elderly Customer's Brokerage Account" »

Gary C. Snisky Charged in $3.8-Million Fraud Scheme Targeting Elderly Investors

The SEC charged trader Gary C. Snisky with defrauding elderly investors by soliciting investments in government-secured agency bonds and then using the invested funds for personal and business ...
Continue reading "Gary C. Snisky Charged in $3.8-Million Fraud Scheme Targeting Elderly Investors" »

Ferry, Clinton and Martin Sentenced for Conspiracy, Mail and Wire Fraud in FBI Sting

Former Southern California securities professionals Dennis J. Clinton and Paul R. Martin were sentenced to 30 months and William J. Ferry was sentenced to serve 15 months in prison for their roles in ...
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Proposed Fiduciary Rule Changes Signal Heightened Due Diligence Requirements for Brokers, Advisors

FINRA, the SEC and the US Department of Labor are considering, and/or proposing changes to fiduciary standards for brokers and advisors as the agencies strive towards a new "culture of fiduciary ...
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Brian Matt Borakowski, George Alexander Kardaras Barred for Promissory Notes Ponzi Scheme Fraud

FINRA barred former J.P. Turner & Company LLC registered principals Brian Matt Borakowski and George Alexander Kardaras after finding they engaged in securities fraud and defrauded investors ...
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Veterans Beware: Rogue Financial Advisor "Pension Poachers" Targeting Military Benefits

New research by the Wall Street Journal has uncovered a disturbing trend of financial planners and advisers known as "pension poachers" targeting military veterans for financial crimes and ...
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Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names

The SEC acknowledged concern about fund names, releasing a guidance update advising investment companies, firms, and issuers against using misleading terminology when naming mutual funds, namely and ...
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FINRA: Volatile Interest Rates Are Next Major Threat to Investment Portfolios

FINRA is warning securities industry stakeholders of volatile interest rates, which the regulatory authority proclaims is the "next major threat" to industry customers. Citing securities ...
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FINRA Enhances BrokerCheck System, Makes Advisers' IAPD Reports Available

FINRA upgraded its BrokerCheck technology over the Veterans Day weekend, making it easier for the investing public to view detailed record information about brokers and other professionals registered ...
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TD Ameritrade Clearing & SG Americas Securities Fined $1.8 Million for Reporting, Supervisory Violations

FINRA fined TD Ameritrade Clearing, Inc. and SG Americas Securities, LLC for failure to report large options positions and related failure to supervise. According to FINRA, the two firms failed to ...
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Meghan E. Kassel Fined and Suspended for Submitting Falsified Variable Annuity Document

FINRA fined and suspended former American Fidelity Securities, Inc. representative Meghan E. Kassel of Rancho Murieta, California and Oklahoma for submitting an inappropriately altered customer ...
Continue reading "Meghan E. Kassel Fined and Suspended for Submitting Falsified Variable Annuity Document" »

Mass. Fines Merrill Lynch $500K for Failing to Stop Broker Misconduct

The Massachusetts Securities Division fined Merrill Lynch Pierce Fenner & Smith Inc. $500,000, alleging the firm failed to stop a broker from "borrowing" over $2 million of client ...
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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