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Blog Posts in September, 2013

Jerry Dean McGlothlin Barred for Unauthorized Outside Business Private Securities Activities

FINRA barred former Lincoln Financial Services Corp., LLC representative Jerry Dean McGlothlin of Laguna Hills, California for selling away, or engaging in an outside business activity without ...
Continue reading "Jerry Dean McGlothlin Barred for Unauthorized Outside Business Private Securities Activities" »

DeCarla Shevon Mathis Fined and Suspended for Fraudulent $100,000 Wire Transfers

FINRA suspended former Wells Fargo Advisors, LLC general securities representative DeCarla Shevon Mathis for effecting e-mail-initiated wire transfers totaling over $100,000 after failing to verbally ...
Continue reading "DeCarla Shevon Mathis Fined and Suspended for Fraudulent $100,000 Wire Transfers" »

Wade Harlow Bradley Fined & Suspended for Willful Disregard of Minimum Offering Condition, False Representations and Failure to Comply

FINRA suspended former IndieVest Securities, Inc. President and Chief Compliance Officer Wade Harlow Bradley of Carlsbad, California for false representations in connection with contingent offerings ...
Continue reading "Wade Harlow Bradley Fined & Suspended for Willful Disregard of Minimum Offering Condition, False Representations and Failure to Comply" »

Private Placement Offerings Require Research and Contemplation of Risk

FINRA issued an investor alert Tuesday regarding private placements and the risks inherent in such securities. The private placement alert warns of the dangers of investing in such non-public ...
Continue reading "Private Placement Offerings Require Research and Contemplation of Risk" »

Financial Fraud: An Appealing Scheme Whose Weakness is the Proactive Investor

FINRA issued a report Thursday, finding that 80 percent of respondents to its Financial Fraud and Fraud Susceptibility in the United States survey have been solicited to participate in or otherwise ...
Continue reading "Financial Fraud: An Appealing Scheme Whose Weakness is the Proactive Investor" »

Wendy Janeen Worcester Fined and Suspended for Multiple Due Diligence Failures

FINRA suspended former TNP Securities, LLC Co-Chief Compliance Officer Wendy Janeen Worcester of Newport Beach, California and fined her $15,000 for allegedly failing to conduct adequate due ...
Continue reading "Wendy Janeen Worcester Fined and Suspended for Multiple Due Diligence Failures" »

Jennifer Marie Burton Fined and Suspended for Falsely Claiming Customer Correspondence, Leading to Improper Wire Transfers

FINRA fined Wachovia/Wells Fargo broker Jennifer Marie Burton of Los Angeles, California and suspended her for allegedly stating on Wachovia Securities (since merged with Wells Fargo Advisors, LLC) ...
Continue reading "Jennifer Marie Burton Fined and Suspended for Falsely Claiming Customer Correspondence, Leading to Improper Wire Transfers" »
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