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Blog Posts in December, 2014

To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports

A Wall Street Journal review revealed that when FINRA disciplines a broker for misconduct, the admonished registrant is sometimes able to retain his or her insurance license, even if the broker's ...
Continue reading "To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports" »

LPL, Commonwealth's Angela Marie Borchardt, and Kenneth William Schulz Barred for Customer Impersonation Scheme

FINRA barred former LPL Financial LLC and Commonwealth Financial Network associates Angela Marie Borchardt and Kenneth William Schulz for impersonating a handful of clients, including elderly and ...
Continue reading "LPL, Commonwealth's Angela Marie Borchardt, and Kenneth William Schulz Barred for Customer Impersonation Scheme" »

Wells Fargo Advisors' former advisor, Jeffrey C. McClure, Barred for Taking $88,850 from Elderly Client

FINRA barred former Wells Fargo Advisors, LLC financial adviser Jeffrey C. McClure of Chico, California for taking $88,850 from an elderly client. The alleged misappropriation of funds occurred during ...
Continue reading "Wells Fargo Advisors' former advisor, Jeffrey C. McClure, Barred for Taking $88,850 from Elderly Client" »

Wells Fargo Advisors Fined $1.5 Million for Anti-Money Laundering Failures

FINRA fined Wells Fargo Advisors and Wells Fargo Advisors Financial Network a total of $1.5 million for anti-money laundering (AML) failures related to 220,000 new customer accounts created from 2003 ...
Continue reading "Wells Fargo Advisors Fined $1.5 Million for Anti-Money Laundering Failures" »

Merrill Lynch Fined $1.9 Million, Ordered to Pay $540,000 in Restitution for GM Fair Pricing and Supervisory Violations

FINRA fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million and ordered the firm to pay over $540,000 in restitution plus interest for fair pricing and supervisory violations ...
Continue reading "Merrill Lynch Fined $1.9 Million, Ordered to Pay $540,000 in Restitution for GM Fair Pricing and Supervisory Violations" »

Wedbush Ordered to Pay $350,000+ After Losing FINRA Appeal

Wedbush Securities and president Edward Wedbush lost its appeal of a 2012 complaint alleging failure to accurately and timely report earlier customer complaints, employee registration and failures ...
Continue reading "Wedbush Ordered to Pay $350,000+ After Losing FINRA Appeal" »

Medical Research Analyst Michael Dinerman Fined and Suspended for Unauthorized Outside Business Activity

FINRA suspended former Piper Jaffray & Co. GSR and Viking Therapeutics COO Michael Dinerman of San Diego, California, fining him $10,000 for participating in an outside business activity without ...
Continue reading "Medical Research Analyst Michael Dinerman Fined and Suspended for Unauthorized Outside Business Activity" »

FINRA Fines 10 Firms from Barclays to Wells Fargo $43.5 Million for Giving Favorable Research Coverage of Toys"R"Us IPO in Exchange for Banking Business

FINRA fined 10 firms a total of $43.5 million for their roles in allowing equity research analysts to solicit investment banking business in exchange for favorable research coverage in connection with ...
Continue reading "FINRA Fines 10 Firms from Barclays to Wells Fargo $43.5 Million for Giving Favorable Research Coverage of Toys"R"Us IPO in Exchange for Banking Business" »

Joseph Pappalardo Barred for Fraud, Soliciting Investments in Fake Company

FINRA barred former Financial Network Investment Corp. investment products/variable contracts representative Joseph Thomas Pappalardo for making fraudulent and misleading misrepresentations to a ...
Continue reading "Joseph Pappalardo Barred for Fraud, Soliciting Investments in Fake Company" »

David Lawrence Gabai Barred for Deceptive, Fraudulent and Manipulative Schemes

FINRA barred former LPL Financial broker David Larence Gabai of West Hills, California for employing deceptive, fraudulent and manipulative schemes involving the purchase and sale of a security held ...
Continue reading "David Lawrence Gabai Barred for Deceptive, Fraudulent and Manipulative Schemes" »

JP Morgan to Pay $485,000 in Damages for Overly Concentrated Investments

FINRA arbitrators ordered JP Morgan Securities to pay clients $485,000 in compensatory damages for a broker's excessively aggressive investment strategy in the Los Angeles area. The claimants ...
Continue reading "JP Morgan to Pay $485,000 in Damages for Overly Concentrated Investments" »

Tammara Lynne Collins Fined & Suspended for Improperly Altering Annuity Purchase Documents

FINRA suspended LPL Financial LLC representative Tammara Lynne Collins of Carlsbad, California and fined her $5,000 for signing and initialing a customer's name on annuity purchase documents in ...
Continue reading "Tammara Lynne Collins Fined & Suspended for Improperly Altering Annuity Purchase Documents" »

Tony Albert Nessan Fined & Suspended for Improperly Marking Recommended Sales as Unsolicited

FINRA fined and suspended former Euro Pacific Capital, Inc. broker Tony Albert Nessan of Los Angeles, California for incorrectly marking trades on electronic order tickets as unsolicited when Nessan ...
Continue reading "Tony Albert Nessan Fined & Suspended for Improperly Marking Recommended Sales as Unsolicited" »
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