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Blog Posts in November, 2014

Swiss HSBC Private Bank Admits Wrongdoing, to Pay $12.5 Million for Providing Unregistered Brokerage in USA

HSBC Private Bank (Suisse) and the Securities and Exchange Commission settled for $12.5 million over charges that the Swiss banking unit provided illegal advisory and other financial services to ...
Continue reading "Swiss HSBC Private Bank Admits Wrongdoing, to Pay $12.5 Million for Providing Unregistered Brokerage in USA" »

Patrick Richard Harrison Barred for Private Securities Transactions That Lost Elderly Clients $340,000

FINRA barred former CUSO Financial Services, L.P. broker Patrick Richard Harrison for engaging in a series of private securities transactions outside of the scope of his employment with CUSO and, as a ...
Continue reading "Patrick Richard Harrison Barred for Private Securities Transactions That Lost Elderly Clients $340,000" »

FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications

FINRA fined Citigroup Global Markets, Inc. $15 million for its failure to adequately supervise both internal and external communications related to equity research, furthermore allowing an equity ...
Continue reading "FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications" »

SEC Fines Wedbush $2.4 Million for Market Access Violations as FINRA Complaint Awaits

Los Angeles-based Wedbush Securities settled a pending SEC case for $2.44 million for violating the industry's market access rule by failing to have adequate risk prevention controls in place ...
Continue reading "SEC Fines Wedbush $2.4 Million for Market Access Violations as FINRA Complaint Awaits" »

RCS Capital Confirms SEC, FINRA and MA State Regulator Investigations over $23m Error

For the first time since news broke of an $23 million accounting error at an American Realty Capital Properties nontraded REIT, chairman Nicholas Schorsch's sister company, RCS Capital Corp., ...
Continue reading "RCS Capital Confirms SEC, FINRA and MA State Regulator Investigations over $23m Error" »

NASAA Names Top 9 Investor Threats for 2015

The North American Securities Administrators Association (NASAA), whose membership consists of securities administrators across all 50 states, territories, Canada and Mexico, released its top nine ...
Continue reading "NASAA Names Top 9 Investor Threats for 2015" »

OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors

Unscrupulous brokers with histories of various misconduct are swarming to hotspots across the nation that feature populations of elderly and wealthy investors, according to a recent study by The Wall ...
Continue reading "OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors" »

Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error

Fidelity, Pershin and Schwab have stopped investing in Nicholas Schorsch's American Realty Capital Properties, Inc. nontraded REITs, joining the National Planning Holdings Inc. broker-dealer ...
Continue reading "Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error" »

Sally Samaris Barred for Failure to Cooperate in Mortgage Fraud Investigation

FINRA barred former Transamerica Financial Advisors, Inc. representative Sally Samaris of Woodland Hills, California for failing to cooperate with an investigation into criminal matters related to a ...
Continue reading "Sally Samaris Barred for Failure to Cooperate in Mortgage Fraud Investigation" »

Massachusetts Regulator Investigating Schorsch's Realty Capital Securities, REIT Sales

The Realty Capital Securities " accounting error " that saw Nicholas Schorsch's company reveal an allegedly deliberate $23 million inaccuracy in reporting—an error that represents ...
Continue reading "Massachusetts Regulator Investigating Schorsch's Realty Capital Securities, REIT Sales" »

Kent George Lehman Barred for Improperly Borrowing From Customers, Failure to Cooperate

FINRA barred former Citigroup, Morgan Stanley & Securian Financial Services, Inc. broker Kent George Lehman of Orange, California for improperly borrowing money from clients and misrepresenting ...
Continue reading "Kent George Lehman Barred for Improperly Borrowing From Customers, Failure to Cooperate" »

Cetera Financial Group Broker-Dealer Network Suspends Some Nicholas Schorsch REITs

The Cetera Financial Group network suspended sales of Nicholas Schorsch's American Realty Capital Properties Inc. REIT, which owns Cole Capital Partners and Cole Capital Advisors, Inc. Schorsch is ...
Continue reading "Cetera Financial Group Broker-Dealer Network Suspends Some Nicholas Schorsch REITs" »

Investors Withdraw $27.5 Billion From of Pimco in Worst-Ever Month for Redemptions

According to BankInvestmentConsultant, Investors are leaving the Pimco Total Return Fund in massive numbers as October 2014's withdrawals reached an estimated $27.5 billion, which follows ...
Continue reading "Investors Withdraw $27.5 Billion From of Pimco in Worst-Ever Month for Redemptions" »

SEC and FINRA Issue Joint Penny Stock Scam Investment Alert

FINRA and the SEC issued an alert warning investors of certain penny stocks being aggressively promoted as great investment opportunities when, in fact, they are little more than stocks of dormant ...
Continue reading "SEC and FINRA Issue Joint Penny Stock Scam Investment Alert" »
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