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Blog Posts in October, 2016

FINRA Cracks Down on Cross-Selling Programs in Wake of Wells Fargo Fiasco

In the wake of the fake account creation scandal at Wells Fargo, which the Consumer Financial Protection Bureau called "fraudulent conduct...on a massive scale" as employees engaged in ...
Continue reading "FINRA Cracks Down on Cross-Selling Programs in Wake of Wells Fargo Fiasco" »

Stuart Dickinson Barred, Restitution Ordered for Recommending Customers Purchase the ATM Alliance Ponzi Scheme

FINRA barred former WFG Investments, Inc. broker Stuart Graham Dickinson for failing to conduct adequate due diligence on exchange-traded funds (ETFs) and a private placement securities offering, ...
Continue reading "Stuart Dickinson Barred, Restitution Ordered for Recommending Customers Purchase the ATM Alliance Ponzi Scheme" »

Anthony Lombardi Fined and Suspended for Failing to Disclose Outside Insurance Business Activity

FINRA fined and suspended former Capital Financial Services, Inc. (Carlsbad, CA) broker Anthony Paul Lombardi for failing to disclose an outside business in which he sold insurance and received sales ...
Continue reading "Anthony Lombardi Fined and Suspended for Failing to Disclose Outside Insurance Business Activity" »

Ex-LPL Broker Mark Tauzin Suspended, Ordered to Pay $225,000 for Unsuitable UIT Short-Term Trading

FINRA suspended former LPL Financial broker Mark Tauzin and ordered him to pay $225,000 in fines and disgorged commissions to 14 clients as a result of unsuitable short-term unit investment trust ...
Continue reading "Ex-LPL Broker Mark Tauzin Suspended, Ordered to Pay $225,000 for Unsuitable UIT Short-Term Trading" »

JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice

With the SEC's recent issuance of a Wells Notice against the troubled Texas real estate investment trust (REIT) known as United Development Funding IV, or UDF IV, combined with NASDAQ's ...
Continue reading "JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice" »

Gregory Bauer Barred After Forgery Leads to $400,000 in Unauthorized Withdrawals

FINRA barred former Waddell & Reed Inc. broker Gregory Russel Bauer for making a series of unauthorized withdrawals and causing unauthorized liquidations of securities from his parents, who were ...
Continue reading "Gregory Bauer Barred After Forgery Leads to $400,000 in Unauthorized Withdrawals" »

Jeffrey Howell Barred for Inflating Values, Sending False Account Statements to Customer

FINRA barred former UBS Financial Services broker Jeffrey Hamilton Howell for purportedly providing false weekly account statements to a customer over a six-year period, in which he inflated the ...
Continue reading "Jeffrey Howell Barred for Inflating Values, Sending False Account Statements to Customer" »

Donald Toomer Barred, Indicted for $30 Million Pump-And-Dump Penny Stock Fraud

FINRA barred Donald Shelby Toomer, formerly of Wells Fargo Advisors Financial Network, LLC in Las Vegas, NV, following a December 2015 indictment on charges of securities fraud, conspiracy to commit ...
Continue reading "Donald Toomer Barred, Indicted for $30 Million Pump-And-Dump Penny Stock Fraud" »

Cetera Financial Group's Investors Capital Corp to Pay $1.1 Million Over Unit Investment Trust, Steepener Note Sales

FINRA fined Investors Capital Corporation and ordered restitution for a total penalty of $1.1 million ($250,000 fine and $841,532.97 in restitution payable to 472 customer accounts) after finding that ...
Continue reading "Cetera Financial Group's Investors Capital Corp to Pay $1.1 Million Over Unit Investment Trust, Steepener Note Sales" »

Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account

FINRA fined and suspended Betty Lai Johnson aka Hung Fang Lai Johnson, formerly of Transamerica Financial Advisors, for impersonating a customer and effecting or causing an unauthorized liquidation of ...
Continue reading "Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account" »
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