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Blog Posts in August, 2017

Facing Allegations of Fraud and Churning, Frederick Houck Suspended for Unauthorized Use of Discretion

FINRA suspended former Freedom Investment Corp. broker Frederick David Houck for improperly exercising discretion to effect nearly 500 transactions without firm authorization or permission and for ...
Continue reading "Facing Allegations of Fraud and Churning, Frederick Houck Suspended for Unauthorized Use of Discretion" »

John Kostic Sanctioned, Disgorgement Ordered for Unauthorized Private Securities Transactions

FINRA suspended former Finance 500, Inc. (Irvine, California) broker John Joseph Kostic Jr, fined him $10,000 and ordered disgorgement for Kostic's participation in private securities transactions ...
Continue reading "John Kostic Sanctioned, Disgorgement Ordered for Unauthorized Private Securities Transactions" »

SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme

Claiming that former LPL Financial broker Sonya Delora Camarco aka Sonya D Fatchett of the firm's Colorado Springs branch stole several millions of dollars from clients during a 13-year fraud ...
Continue reading "SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme" »

OHO Issues Decision Barring Jim Jinkook Seol over Undisclosed EB-5 Business

FINRA's OHO concluded a year-long investigation into former Ameriprise Financial (Irvine, CA) broker Jim Jinkook Seol by issuing a decision barring Seol from the securities industry for engaging ...
Continue reading "OHO Issues Decision Barring Jim Jinkook Seol over Undisclosed EB-5 Business" »

Say Nie Sam Sanctioned for Falsifying Wire Transfer Forms

FINRA fined and suspended broker Say Nie Sam, formerly of Wells Fargo Clearing Services (San Mateo, CA) and Morgan Stanley (Menlo Park, CA) for falsifying five wire transfer forms by placing ...
Continue reading "Say Nie Sam Sanctioned for Falsifying Wire Transfer Forms" »

Jay Dee Jordan Barred for Unsuitable ETF Trading Resulting in $8 Million Loss, Settling Away

FINRA barred former WFG Investments, Inc. representative Jay Dee Jordan of the firm's Oklahoma City branch for engaging in a series of misconduct related to nontraditional exchange-traded funds ...
Continue reading "Jay Dee Jordan Barred for Unsuitable ETF Trading Resulting in $8 Million Loss, Settling Away" »

FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations

FINRA fined FSC Securities Corporation $100,000 and ordered nearly $500,000 in restitution after finding that FSC failed to establish and maintain adequate supervisory systems regarding its ...
Continue reading "FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations" »

Buyer Beware - Worst Performing Mutual Funds & ETFs From 2012-2017

The 10 worst performing mutual funds and ETFs for the past five years features a notably underperforming natural resources sector (such as energy, mineral, oil, gas, and coal companies), whose annual ...
Continue reading "Buyer Beware - Worst Performing Mutual Funds & ETFs From 2012-2017" »

Howard Hull Fined & Suspended for Firm's Supervisory Failures

FINRA suspended California broker and principal Howard Lawrence Hull, fining him $20,000 for a series of supervisory failures at his firm, HLH Securities, Inc., of Newport Coast, CA, including ...
Continue reading "Howard Hull Fined & Suspended for Firm's Supervisory Failures" »

Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires

FINRA fined and suspended former LPL Financial, LLC broker Stanley Scott Garrison of Bakersfield, California for failing to disclose an outside business activity and for providing false answers on ...
Continue reading "Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires" »

Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties

FINRA fined and suspended Stephen "Steve" Samuel Salm of Securities America's Solana Beach, California branch for disclosing personal information about customers to a nonaffiliated third ...
Continue reading "Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties" »

LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees

The SEC charged former LPL Financial brokers Jonathan Dax Cooke, Danny Scott Hood, Christopher S Laws, and Brandon Preston Long with fraudulently enticing federal employees to roll over holdings from ...
Continue reading "LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees" »
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