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Blog Posts in May, 2014

FINRA Cracking Down on Abusive, Unsuitable Automatic Trading Practices

FINRA is placing emphasis on trading strategies based on mathematical algorithms and has opened 170 investigations into cases alleging such abusive trading practices. Chairman Richard Ketchum recently ...
Continue reading "FINRA Cracking Down on Abusive, Unsuitable Automatic Trading Practices" »

Disgraced HSBC Rep Ann Maria Ferrao Barred After Alleged Misappropriation of Funds

FINRA barred HSBC Securities (USA), Inc. broker Ann Maria Ferrao following an investigation into allegations that she misappropriated funds from client's bank accounts for the benefit of other ...
Continue reading "Disgraced HSBC Rep Ann Maria Ferrao Barred After Alleged Misappropriation of Funds" »

JP Morgan's Kirk Eric Archibald and Michael Linfeng Zheng Barred for Unauthorized Conversion of Customer Funds

FINRA barred former JP Morgan Securities brokers Kirk Eric Archibald and Michael Linfeng Zheng for allegedly engaging in unauthorized transactions and money transfers using customer debit and ATM ...
Continue reading "JP Morgan's Kirk Eric Archibald and Michael Linfeng Zheng Barred for Unauthorized Conversion of Customer Funds" »

SEC Bars Convicted Fraudster Gurudeo Persaud for Investment Strategy Based on Astrology

Charged with fraud in 2012 and having pleaded guilty in 2013, the SEC barred financial adviser Gurudeo "Buddy" Persaud for "basing investment decisions on gravitational forces of the ...
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Broker Matthew Trulli Suspended for Illicit Borrowing of Nearly $200k in Customer Funds

FINRA suspended former Foothill Securities broker Matthew Trulli of Visalia, California for borrowing approximately $197,500 of firm customer funds in violation of firm and industry policy. FINRA Case ...
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William Jeffrey Austin Fined & Suspended for Exercising Discretion Without Authorization or Consent

FINRA fined and suspended former WBB Securities, Inc. broker William Jeffrey Austin of Redlands, California for exercising discretion in a customer account without proper authorization or consent. The ...
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Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales

FINRA fined brokerage firm Morgan Stanley Smith Barney LLC $5 million for supervisory failures exhibited in the solicitation and sales of shares of 83 initial public offerings (IPOs), which included ...
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FINRA Targeting Fixed Annuity Sales' Risks, Firm Policies and Procedures

The Financial Industry Regulatory Authority is stepping up scrutiny concerning fixed annuity sales in response to finding that brokerages are growing into the indexed annuities market, representing a ...
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Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases

The financial homeowners' market has re-entered the realm of cash-out refinancing, a tool relatively rare and exiled since the high-profile real-estate bubble bust of the mid-2000s. A loan taken ...
Continue reading "Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases" »

NSM Securities, Bhasin, Bhagwani & Balchandani Disciplined for Supervisory, Suitability and Compliance Failures, Churning and Unauthorized Trading Activity

FINRA permanently barred NSM Securities, Inc. broker Shondeep S. Balchandani for multiple violations of FINRA, NASD and SEC rules and laws, naming NSM's President and CEO Niyukt R. Bhasin and ...
Continue reading "NSM Securities, Bhasin, Bhagwani & Balchandani Disciplined for Supervisory, Suitability and Compliance Failures, Churning and Unauthorized Trading Activity" »
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