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Blog Posts in December, 2016

Former ACAP AML Compliance Officer Gary Hume Barred for Improper Unregistered Penny Stock Liquidation

FINRA barred former ACAP Financial Inc. (Salt Lake City, Utah) Anti-Money Laundering Compliance Officer, Gary Hume, in facilitating the liquidation of over 3.3 billion unregistered penny stock shares ...
Continue reading "Former ACAP AML Compliance Officer Gary Hume Barred for Improper Unregistered Penny Stock Liquidation" »

Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures

FINRA fined 12 member firms a total of $14.4 million for what the regulator deemed "significant deficiencies" related to preservation and protection of electronic brokerage and customer ...
Continue reading "Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures" »

FINRA Bars Ken Balser After Investigation into Private Securities Transactions

FINRA barred ex-Cetera Advisors LLC broker Kenneth Alan Balser of the firm's Colorado Springs branch in connection with an investigation into private securities transactions. FINRA's decision ...
Continue reading "FINRA Bars Ken Balser After Investigation into Private Securities Transactions" »

Kai Chen Fined & Suspended for Unauthorized Use of Discretion at Credit Suisse

FINRA fined and suspended former Credit Suisse Securities and S F Sentry Securities (both of San Francisco, CA) broker Kai Nmn Chen aka Szu-Kai or Szukai Chen for improperly exercising discretion in ...
Continue reading "Kai Chen Fined & Suspended for Unauthorized Use of Discretion at Credit Suisse" »

FINRA Sanctions Davood Kohan for Improperly Settling Complaint Away from Firm

FINRA fined and suspended Davood Kohan (aka Kohanzadeh) for settling a customer complaint without notifying his firm, First Allied Securities of San Francisco, of the dispute or proposed settlement, ...
Continue reading "FINRA Sanctions Davood Kohan for Improperly Settling Complaint Away from Firm" »

Christopher Ariola Barred, Ordered to Pay $138k in Restitution for Unsuitable Gold & Energy Recommendations

Former Bay Mutual Financial (Santa Monica) and Financial Telesis (Aliso Viejo) broker Christopher Basile Ariola must pay nearly $138,000 in restitution to customers who lost money after Ariola ...
Continue reading "Christopher Ariola Barred, Ordered to Pay $138k in Restitution for Unsuitable Gold & Energy Recommendations" »

Credit Suisse Securities Fined $16.5 Million for Significant Supervisory Deficiencies in Detecting Suspicious Microcap Trades

FINRA fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision, and other violations related to the firm's suspicious activity monitoring program ...
Continue reading "Credit Suisse Securities Fined $16.5 Million for Significant Supervisory Deficiencies in Detecting Suspicious Microcap Trades" »

FINRA's Recent Sanctions Underscore Compensation and Conflict of Interest Priorities

FINRA demonstrated its concern with conflict of interest situations posed by broker-dealer sales incentives and similarly problematic compensation structures in a recent enforcement action, in which ...
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MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse

Massachusetts regulators charged LPL Financial with failing to supervise financial adviser Roger Salvatore Zullo, who the state says defrauded clients, lied to supervisors, fabricated LPL clients' ...
Continue reading "MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse" »

Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts

FINRA fined Merrill Lynch $6.25 million and ordered the firm to pay an additional $780,000—totaling over $7 million in penalties—for inadequate supervision of its customer's use of ...
Continue reading "Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts" »
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