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Blog Posts in May, 2016

FOG Equities Fined $60k, Brokers David Spack & Scott Epstein Fined and Suspended for AML, Due Diligence Failures in Penny Stock Transactions

FINRA censured and fined FOG Equities, LLC $60,000, and fined & suspended former FOG AML & Chief Compliance Officers David S. Spack of the firm's San Francisco, CA branch and Scott Noel ...
Continue reading "FOG Equities Fined $60k, Brokers David Spack & Scott Epstein Fined and Suspended for AML, Due Diligence Failures in Penny Stock Transactions" »

Raymond James Fined $17 Million for Systematic Anti-Money Laundering Failures

FINRA fined Raymond James & Associates, Inc. and Raymond James Financial Services a total of $17 million for widespread compliance failures related to anti-money laundering (AML) systems, issuing ...
Continue reading "Raymond James Fined $17 Million for Systematic Anti-Money Laundering Failures" »

Thrivent's Miguel Hernandez Barred for Defrauding Elderly Church-Going Client

FINRA barred Miguel Angel Hernandez ( CRD 4733002 ), formerly of Thrivent Investment Management in El Paso, Texas, for allegedly defrauding an elderly woman he met at church by obtaining $25,000 in ...
Continue reading "Thrivent's Miguel Hernandez Barred for Defrauding Elderly Church-Going Client" »

Crowdfunding Fraud is Possible, Cautions FINRA in News Release for New Startup Investment Opportunities

May 16 marks a new era of financial opportunity as investors may now buy securities in early-stage small businesses through crowdfunding, a company's method of raising capital through limited ...
Continue reading "Crowdfunding Fraud is Possible, Cautions FINRA in News Release for New Startup Investment Opportunities" »

Robert Kerrigan Investigated for Undisclosed USA Barcelona Outside Business Facing Fraud Charge, Barred for Refusal to Cooperate

FINRA barred Robert Joseph Kerrigan Sr., formerly of First Financial Equity Corporation (Scottsdale, Arizona) after he refused to cooperate with a FINRA investigation into violative private securities ...
Continue reading "Robert Kerrigan Investigated for Undisclosed USA Barcelona Outside Business Facing Fraud Charge, Barred for Refusal to Cooperate" »

FINRA Announces MetLife VA Information for Harmed Investors: Acceptance of Compensation Does Not Prevent Pursuit of Claims Against MetLife

As part of MetLife Securities, Inc.'s industry-record sanction and $20 million fine for variable annuity replacement misrepresentations and omissions, FINRA ordered the firm to set aside $5 ...
Continue reading "FINRA Announces MetLife VA Information for Harmed Investors: Acceptance of Compensation Does Not Prevent Pursuit of Claims Against MetLife" »

Robert Turpin Barred for Failing to Cooperate with Selling Away Investigation

FINRA barred broker Robert Turpin, formerly of Scottsdale, Arizona's Source Capital Group, for failing to provide requested information during an investigation into allegations that he engaged in ...
Continue reading "Robert Turpin Barred for Failing to Cooperate with Selling Away Investigation" »

FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away

FINRA has opened an investigation into John Stuart Hudnall, formerly of U.S. Bancorp Investments in San Francisco, CA, alleging that he participated in an undisclosed and unapproved private securities ...
Continue reading "FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away" »

David Miller Barred, Ordered to Pay $800k in Restitution for Unsuitable UIT Recommendations

FINRA barred former Huntington Investment Company broker David Michael Miller and ordered he pay $800,000 in disgorgment and restitution to customers, alleging that he recommended unsuitable Unit ...
Continue reading "David Miller Barred, Ordered to Pay $800k in Restitution for Unsuitable UIT Recommendations" »

MetLife Securities Ordered to Pay Record-High $25 Million for Negligent Variable Annuity Replacement App Misrepresentations and Omissions

FINRA fined MetLife Securities, Inc. an industry-record $20 million and ordered an additional $5 million payable to customers it says were harmed by the firm's negligent material ...
Continue reading "MetLife Securities Ordered to Pay Record-High $25 Million for Negligent Variable Annuity Replacement App Misrepresentations and Omissions" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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