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Blog Posts in March, 2014

Arbitrator James H. Frank Removed From FINRA'S Roster of Arbitrators After Lying About Credentials

FINRA removed Santa Barbara, California arbitrator James H. Frank from its list of arbitrators after discovering that Frank allegedly lied about being a lawyer and a member of the bar of several ...
Continue reading "Arbitrator James H. Frank Removed From FINRA'S Roster of Arbitrators After Lying About Credentials" »

LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales

FINRA fined LPL Financial LLC $950,000 for supervisory failures that regulators say contributed to violations of concentration rules concerning the sales of alternative investments, including ...
Continue reading "LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales" »

Irvine Firm Accelerated Capital Group Fined for Misleading and Exaggerated Website Information

FINRA fined Irvine, California-based firm Accelerated Capital Group ("ACG"), formerly known as Mark Stewart Securities, $32,500 for fabricated testimonials and a series of misleading ...
Continue reading "Irvine Firm Accelerated Capital Group Fined for Misleading and Exaggerated Website Information" »

Merrill Lynch Associate Andres Enrique Rojas Barred for Impersonating Client

FINRA barred former Merrill Lynch representative Andres Enrique Rojas of Miami for working with another senior broker, Giancarlo Ciocca, to impersonate a Guatemalan client to obtain online access to a ...
Continue reading "Merrill Lynch Associate Andres Enrique Rojas Barred for Impersonating Client" »

Citigroup Global Markets Ordered to Pay $1.1 Million for Illegal Short Selling Prior to Public Offerings, Supervisory Failures

FINRA ordered Citigroup Global Markets, Inc. to pay $1.1 million in connection with illegal short sales effected prior to participating in five public offerings of securities. The $1.1 million ...
Continue reading "Citigroup Global Markets Ordered to Pay $1.1 Million for Illegal Short Selling Prior to Public Offerings, Supervisory Failures" »

Integral Financial, Weiming "Frank" Ho Fined for Repeated Non-Compliant Communications in Complex Product Promotions

FINRA fined California firm Integral Financial, LLC and its Chief Compliance Officer (CCO), direct owner, founder and President Weiming "Frank" Ho for engaging in an ongoing pattern of using ...
Continue reading "Integral Financial, Weiming "Frank" Ho Fined for Repeated Non-Compliant Communications in Complex Product Promotions" »

SEC Charges Brokers Michael Horowitz, Moshe Marc Cohen with $80 Million Variable Annuity Fraud

The SEC filed charges against Los Angeles broker Michael A. Horowitz and Brooklyn broker Mosche Marc Cohen, alleging the duo were party to an $80-million fraudulent variable annuity ("VA") ...
Continue reading "SEC Charges Brokers Michael Horowitz, Moshe Marc Cohen with $80 Million Variable Annuity Fraud" »

Girard Securities Fined for Supervisory Failures Concerning Fraud Prevention Tactics

FINRA fined San Diego, California-based Girard Securities, Inc. for failing to design systems, including written supervisory procedures (WSPs), to prevent fraudulent third party wire transfer ...
Continue reading "Girard Securities Fined for Supervisory Failures Concerning Fraud Prevention Tactics" »

Running with Scissors: SEC Closely Monitoring Advisors' Use of Hot-Button Alternative Mutual Funds

The Securities and Exchange Commission (SEC) is keeping a close eye on financial advisors marketing alternative mutual funds to investors as more lucrative instruments compared to traditional mutual ...
Continue reading "Running with Scissors: SEC Closely Monitoring Advisors' Use of Hot-Button Alternative Mutual Funds" »

The Vertical Group Fined & Ordered to Revise WSPs in Wake of Trade, Records & Supervisory Violations

FINRA fined The Vertical Trading Group, a broker doing business as The Vertical Group, $27,500 and ordered the firm to revise its written supervisory procedures (WSPs) after discovering numerous ...
Continue reading "The Vertical Group Fined & Ordered to Revise WSPs in Wake of Trade, Records & Supervisory Violations" »

Former Merrill Lynch Broker Jane O'Brien Accused of 18-Year, $1.3 Million Ponzi Scheme

Federal prosecutors indicted former Merrill Lynch broker Jane O'Brien, alleging she misappropriated $1.3 million in client funds during the course of an 18-year Ponzi scheme that began in June ...
Continue reading "Former Merrill Lynch Broker Jane O'Brien Accused of 18-Year, $1.3 Million Ponzi Scheme" »
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