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Blog Posts in October, 2014

National Planning Holdings Halts American Realty Capital Nontraded REIT Sales over $23m Accounting Problem

Broker-dealer network National Planning Holdings Inc.'s member firms, including INVEST Financial Corp., Investment Centers of America, Inc., National Planning Corp. and SII Investments, Inc. all ...
Continue reading "National Planning Holdings Halts American Realty Capital Nontraded REIT Sales over $23m Accounting Problem" »

Merrill Lynch Fined $6 Million for Short Sale Violations and Supervisory Failures

FINRA fined Merrill Lynch Professional Clearing Corp. $3.5 million for violating SEC rules regarding short sales and affiliated broker-dealer Merrill Lynch, Pierce, Fenner & Smith Incorporated ...
Continue reading "Merrill Lynch Fined $6 Million for Short Sale Violations and Supervisory Failures" »

At LPL Financial, Higher Q3 Charges For Regulatory Costs

LPL Financial announced its projection of $23 million in regulatory charges for the third quarter due to regulatory matters concerning firm policies, procedures and systems. The bulk of the $23 ...
Continue reading "At LPL Financial, Higher Q3 Charges For Regulatory Costs" »

Jonathan Kohanof Barred for False Testimony in Insider Trading Investigation

FINRA barred former Houlihan Lokey Capital, Inc. associate Jonathan Kohanof of Los Angeles, California for untruthful testimony during an investigation into allegations of insider trading. FINRA's ...
Continue reading "Jonathan Kohanof Barred for False Testimony in Insider Trading Investigation" »

SEC Charges Former Wells Fargo Compliance Officer Judy K. Wolf with Altering Documents

The SEC accused former Wells Fargo Advisors Compliance Officer Judy K. Wolf of altering documents pertaining to a 2010 insider trading scheme in order to make it appear that she, as a compliance ...
Continue reading "SEC Charges Former Wells Fargo Compliance Officer Judy K. Wolf with Altering Documents" »

Thomas David Sharp Fined and Suspended for Improper REIT E-mail Solicitations

FINRA fined and suspended former Ameriprise Financial Services, Inc. broker Thomas David Sharp of Carmichael, California for sending multiple e-mails concerning non-traded real estate investment ...
Continue reading "Thomas David Sharp Fined and Suspended for Improper REIT E-mail Solicitations" »

Travis Capson, Arnab Sarkar Fined and Suspended for Failing to Disclose Outside Business Activity, Denari Capital LLC

FINRA suspended Northwestern Mutual Investment Services, LLC broker Travis Capson of Concord, California and variable contracts representative Arnab Sarkar of El Cerrito, CA, and fined them $10,000 ...
Continue reading "Travis Capson, Arnab Sarkar Fined and Suspended for Failing to Disclose Outside Business Activity, Denari Capital LLC" »

Luciano Andres Battioli Barred for Conversion, Forgery and Falsification

FINRA barred former JP Morgan Securities LLC associate Luciano Andres Battioli of Huntington Beach, California after finding that he converted customer funds by forging bank withdrawal documents and ...
Continue reading "Luciano Andres Battioli Barred for Conversion, Forgery and Falsification" »

Jo Ellen Fisher Barred, Sued for Allegedly Stealing $1 Million from 95-Year-Old Client

FINRA barred former Raymond James Financial Services, Inc. financial advisor Jo Ellen Fisher for allegedly misappropriating almost $1 million from an elderly client by converting funds without the ...
Continue reading "Jo Ellen Fisher Barred, Sued for Allegedly Stealing $1 Million from 95-Year-Old Client" »

SWS Charged with Inadequate Supervision of VA Transactions

FINRA charged SWS Financial Services Inc. with multiple failures related to variable annuity (VA) transactions, including supervisory inadequacies, procedural deficiencies and lack of oversight. The ...
Continue reading "SWS Charged with Inadequate Supervision of VA Transactions" »
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