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Blog Posts in July, 2014

Five Newport Coast Brokers Charged with Churning Resulting in $1 Million Losses

FINRA filed charges against five brokers associated with Newport Coast Securities Inc., alleging that from 2008 through 2013, the brokers churned the accounts of 24 customers, using margin and ...
Continue reading "Five Newport Coast Brokers Charged with Churning Resulting in $1 Million Losses" »

Jason O'Neal Lampier Barred for Fraudulent Misrepresentations Related to Oil and Gas Limited Partnerships

FINRA barred former M&W Financial, Inc. broker Jason O'Neal Lampier for making fraudulent representations to a customer related to sales of oil and gas securities, in violation of the ...
Continue reading "Jason O'Neal Lampier Barred for Fraudulent Misrepresentations Related to Oil and Gas Limited Partnerships" »

David Paul Diehl Suspended, Fined for Failure to Pay Promissory Note Interest, No Notification to Firm

FINRA suspended former First Liberties Financial broker David Paul Diehl and fined him $10,000 for engaging in outside business activities without disclosing them to his employing firm. The report ...
Continue reading "David Paul Diehl Suspended, Fined for Failure to Pay Promissory Note Interest, No Notification to Firm" »

William C. Yi Barred for Altering Customer's Check, Converting Funds for Personal Use

FINRA barred former Farmers Financial Solutions LLC broker and Farmers Insurance Group property and casualty insurance agent William C. Yi for allegedly altering a customer's check and then ...
Continue reading "William C. Yi Barred for Altering Customer's Check, Converting Funds for Personal Use" »

SEC: Financial Exploitation of Older Adults is an Urgent Issue

Securities and Exchange Commissioner, Luis A. Aguilar, promoted the protection of elderly investors as an issue of primary concern during an address to the SEC's Investor Advisory Committee in ...
Continue reading "SEC: Financial Exploitation of Older Adults is an Urgent Issue" »

James William Murphy, Guilty of Fraud, Barred for Misuse, Conversion of Funds for Personal Use

FINRA permanently barred convicted fraudster and former Morgan Stanley broker James William Murphy for misusing and converting funds belonging to a charitable foundation for which Murphy served as ...
Continue reading "James William Murphy, Guilty of Fraud, Barred for Misuse, Conversion of Funds for Personal Use" »

Kent Michael Houston Fined $75k & Suspended for Concealing Compensated Trustee Activity

The Securities & Exchange Commission (SEC) sustained a National Adjudicatory Council (NAC) decision in which broker Kent Michael Houston of Carlsbad, California received a $75,000 fine and ...
Continue reading "Kent Michael Houston Fined $75k & Suspended for Concealing Compensated Trustee Activity" »

FINRA Bars Steven Yi for Failure to Provide Information

FINRA barred broker Steven Yi of San Diego, California for failing to respond to FINRA's repeated requests for information pertaining an investigation into a customer complaint against Yi while he ...
Continue reading "FINRA Bars Steven Yi for Failure to Provide Information" »

FINRA Enforcement Charges Mark Foster with Failure to Cooperate with Investigation

FINRA charged principal Mark Foster of Pasadena, California with repeatedly failing to cooperate with a FINRA investigation into his activities. FINRA Case #2014039867601 According to the disciplinary ...
Continue reading "FINRA Enforcement Charges Mark Foster with Failure to Cooperate with Investigation" »
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