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Blog Posts in November, 2015

Joseph Holzhause Barred for False and Misleading Letter, Undisclosed Business Activity

FINRA barred former Waddell & Reed broker Joseph Robert Holzhause for signing and distributing a misleading letter on firm letterhead and for failing to inform Waddell & Reed of an outside ...
Continue reading "Joseph Holzhause Barred for False and Misleading Letter, Undisclosed Business Activity" »

Scottrade Fined $2.6 Million for Failing to Keep E-mails and Records, Poor Supervision

FINRA fined Scottrade, Inc. $2.6 million for failures related to its electronic records and e-mails: specifically, that the firm failed to retain a "large number" of securities-related ...
Continue reading "Scottrade Fined $2.6 Million for Failing to Keep E-mails and Records, Poor Supervision" »

MetLife: FINRA to Seek Significant Fine for Variable Annuities Violations

MetLife Inc. announced it is expecting a "significant fine" for potential variable annuities (VA) violations originating from affiliated broker-dealer MetLife Securities, Inc. (MSI), which ...
Continue reading "MetLife: FINRA to Seek Significant Fine for Variable Annuities Violations" »

Anthony Kerrigone Fined $10k & Suspended for Selling Short Securities He Failed to Locate

FINRA suspended former Wilson-Davis & Co., Inc. broker Anthony "Tony" Benedict Kerrigone and fined him $10,000 for placing orders to short sell low-priced stocks and failing to locate ...
Continue reading "Anthony Kerrigone Fined $10k & Suspended for Selling Short Securities He Failed to Locate" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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