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Blog Posts in April, 2015

FINRA Orders Avenir Financial Group to Stop Selling to Elderly Customers, Bars Cesar Rodriguez for Fraud

Following several years of what it alleged to be fraud, FINRA filed a cease and desist order against Avenir Financial Group, naming Avenir CEO Michael Todd Clements and broker Karim Ahmed Ibrahim (aka ...
Continue reading "FINRA Orders Avenir Financial Group to Stop Selling to Elderly Customers, Bars Cesar Rodriguez for Fraud" »

CFP Board Censures 23 Advisors, Issues Revocations, Suspensions for Unethical Practices

The Certified Financial Planner (CFP) Board announced sanctions taken against 23 financial advisors as the result of both CFP and FINRA violations spanning from unsuitable annuities recommendations, ...
Continue reading "CFP Board Censures 23 Advisors, Issues Revocations, Suspensions for Unethical Practices" »

FINRA Fines RBC $1 Million, Orders $434,000 in Restitution for Reverse Convertible Failures

FINRA ordered RBC Capital Markets to pay over $1.4 million in fines and restitution to customers for a variety of supervisory failures that FINRA says resulted in several hundreds of sales of the ...
Continue reading "FINRA Fines RBC $1 Million, Orders $434,000 in Restitution for Reverse Convertible Failures" »

Former JPMorgan Broker Michael Oppenheim Charged for Stealing $20 Million from Clients

FBI officials charged former JPMorgan Chase & Co. banker Michael Jeffrey Oppenheim with stealing $20 million from customers at JP Morgan in a fraudulent scheme prosecutors allege bilked eager ...
Continue reading "Former JPMorgan Broker Michael Oppenheim Charged for Stealing $20 Million from Clients" »

Commonwealth Capital Corp. CEO Kimberly Springsteen-Abbott Barred, Disgorgement Ordered for Misusing Investor Funds

FINRA barred Kimberly Springsteen-Abbott for misuse of investor funds related to illiquid equipment leasing funds by improperly allocating expenses that were not related to the funds' business. ...
Continue reading "Commonwealth Capital Corp. CEO Kimberly Springsteen-Abbott Barred, Disgorgement Ordered for Misusing Investor Funds" »

Under FINRA Investigation for Duping Elderly Investors, Broker Richard Ohrn Fakes Disappearance at Sea

Former Chase Investment Services and Wells Fargo Advisors broker Richard Ohrn admitted to faking his own disappearance in the midst of a FINRA investigation alleging thefts from two elderly JP Morgan ...
Continue reading "Under FINRA Investigation for Duping Elderly Investors, Broker Richard Ohrn Fakes Disappearance at Sea" »

New Hampshire Regulator Seeks $3.6 Million from LPL for Unsuitable REIT Sales to Elderly Clients

The New Hampshire Bureau of Securities filed an action Monday ordering LPL Financial to cease and desist activities in violation of state security regulations related to the alleged unsuitable sales ...
Continue reading "New Hampshire Regulator Seeks $3.6 Million from LPL for Unsuitable REIT Sales to Elderly Clients" »

Complaint Filed Against Electronic Transaction Clearing's Kevin Murphy and David DiCenso for Supervisory Violations

The Department of Market Regulation filed a complaint against Los Angeles-based Electronic Transaction Clearing, Inc. President and COO Kevin Murphy and former Chief Compliance Officer David DiCenso ...
Continue reading "Complaint Filed Against Electronic Transaction Clearing's Kevin Murphy and David DiCenso for Supervisory Violations" »
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