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Blog Posts in March, 2015

H. Beck, LaSalle St. Securities, and J.P. Turner & Company Fined $700,000 for Inadequate Supervision

FINRA fined firms H. Beck, Inc., LaSalle St. Securities, LLC, and J.P. Turner & Company, LLC a combined $700,000 for various violations, including inadequate supervision of consolidated reports ...
Continue reading "H. Beck, LaSalle St. Securities, and J.P. Turner & Company Fined $700,000 for Inadequate Supervision" »

Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton

FINRA sanctioned brokerage firm Oppenheimer & Co. Inc. a total of $3.75 million—which includes a $2.5m fine and $1.25m in restitution—for failing to supervise former broker Mark ...
Continue reading "Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton" »

Loreta Salinas Nelson Fined & Suspended for Serving as Co-Trustee for 100-year-old Client Without Firm Permission

FINRA suspended former MetLife Securities Inc. broker Loreta Salinas Nelson of Murrieta, California for engaging in an unapproved outside business activity by serving as a co-trustee for an elderly ...
Continue reading "Loreta Salinas Nelson Fined & Suspended for Serving as Co-Trustee for 100-year-old Client Without Firm Permission" »

Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities

A FINRA Office of Hearing Officers order suspended former Transamerica Financial Advisors, Inc. broker Artak Daldumyan of Glendale, California for engaging in multiple outside business activities ...
Continue reading "Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities" »

Nicholas C. Kramer Barred for Misappropriating Funds by Using Fake Identity

FINRA barred former Wells Fargo Advisors, LLC broker Nicholas Charles Kramer for using a fake identity to misappropriate funds while he was registered with the firm's branch in Glendora, ...
Continue reading "Nicholas C. Kramer Barred for Misappropriating Funds by Using Fake Identity" »

With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz

After 14 customers filed separate disputes alleging misrepresentation and falsification of statements and records in variable annuity (VA) transactions, FINRA filed a complaint against broker Anthony ...
Continue reading "With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz" »

FINRA Censures and Fines UBS $500,000 for Failing to Disclose Broker Issues to Regulators

FINRA fined UBS Wealth Management's UBS Financial Services, Inc. $500,000, censuring the firm for failing to report liens or civil judgments for up to 100 brokers from 2010 through 2013. FINRA AWC ...
Continue reading "FINRA Censures and Fines UBS $500,000 for Failing to Disclose Broker Issues to Regulators" »

FINRA Bars Broker Michael Korson for Misusing Investor Funds from an Undeclared Outside Business Activity

FINRA barred former PFS Investments, Inc. and HBW Securities, LLC broker Michael Willard Korson for improper use of customer funds invested in My Coupon Genie, Inc., a Korson-owned outside business ...
Continue reading "FINRA Bars Broker Michael Korson for Misusing Investor Funds from an Undeclared Outside Business Activity" »

Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds

FINRA fined, suspended and ordered former Edward Jones broker Dalas Lee Gundersen of Willows, California to pay disgorgement for ill-gotten commissions related to an unsuitable investment ...
Continue reading "Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds" »

FINRA Fines & Suspends Former Murphy & Durieu CCO Frede for Compliance Failures, Penny Stock Woes

FINRA suspended former Murphy & Durieu, L.P. Chief Compliance Officer Jonathan Harold Frede of Las Vegas and fined him $20,000 for multiple failures related to substandard supervisory systems at ...
Continue reading "FINRA Fines & Suspends Former Murphy & Durieu CCO Frede for Compliance Failures, Penny Stock Woes" »
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