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Blog Posts in February, 2017

Vincent Payne Suspended for Forgery, Falsifying Customer Signatures

FINRA suspended former Farmers Financial Solutions of Woodland, CA rep Vincent Bee Payne for falsifying multiple customers' signatures on firm documents without any of the customers' consent ...
Continue reading "Vincent Payne Suspended for Forgery, Falsifying Customer Signatures" »

Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine

FINRA ordered Purshe Kaplan Sterling Investments to pay $3.4 million in restitution to a Native American tribe that paid excessive sales charges on fraudulent non-traded real estate investment trust ...
Continue reading "Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine" »

Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud

FINRA expelled Plano, Texas-based Red River Securities, LLC, barred Red River CEO Brian Keith Hardwick, and ordered restitution in the amount of $24.6 million for fraudulent oil and gas securities ...
Continue reading "Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud" »

LPL Financial Fined $900,000 for Failing to Send Required Account Notices, Supervisory Failures

FINRA fined LPL Financial $900,000 for failing to send customers more than 1.6 million account notices required under the Exchange Act. Regulators admonished LPL for failing to send over 25% of ...
Continue reading "LPL Financial Fined $900,000 for Failing to Send Required Account Notices, Supervisory Failures" »

Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses

Morgan Stanley Smith Barney settled an SEC complaint for $8 million in fines and admitted wrongdoing, including that it improperly sold single-inverse exchange-traded funds (ETFs) without implementing ...
Continue reading "Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses" »

Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses

One month and four days after filing a complaint alleging that Kelly Clayton Althar made unsuitable recommendations and excessively traded an elderly client's account at Financial West Group in ...
Continue reading "Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses" »

Matthew Maczko Barred for Churning in 93-Year-Old Client's Account, Resulting in Loss; Misleading Testimony

FINRA barred former Wells Fargo Advisors representative Matthew Christopher Maczko for excessive trading in four accounts belonging to a 93-year-old client. The alleged misconduct began in 2009 and ...
Continue reading "Matthew Maczko Barred for Churning in 93-Year-Old Client's Account, Resulting in Loss; Misleading Testimony" »

Dion Padilla Sanctioned for Unauthorized, Misrepresented, and Concealed Variable Annuity Purchase

NEXT Financial Group broker Dion Rey Padilla and FINRA's Department of Enforcement reached a settlement concerning allegations that Padilla effected an unauthorized variable annuity (VA) purchase ...
Continue reading "Dion Padilla Sanctioned for Unauthorized, Misrepresented, and Concealed Variable Annuity Purchase" »

James Calder Sanctioned for Unauthorized Outside Business Activity

FINRA fined ex-Raymond James Financial Services broker James David Calder II for engaging in an outside business activity without firm approval. Calder purportedly sold life settlement contracts ...
Continue reading "James Calder Sanctioned for Unauthorized Outside Business Activity" »

After Separation from JP Morgan, Robert Stewart Says He Just Followed Firm's Longstanding Practice

FINRA fined and suspended broker Robert Scott Stewart, formerly of JP Morgan Securities' Chino Valley, Arizona branch, for obtaining customer signatures on otherwise blank forms, and attaching ...
Continue reading "After Separation from JP Morgan, Robert Stewart Says He Just Followed Firm's Longstanding Practice" »

Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud

A federal judge sentenced eight former brokers, advisers, and salesmen—including alleged ringleader Izak Zirk de Maison of Redlands, California—to prison for their roles in a widespread ...
Continue reading "Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud" »

Lawson Financial, CEO Robert Lawson Barred for Fraudulent Municipal Bond Sales

FINRA expelled Phoenix-based Lawson Financial Corporation, Inc. and barred President and CEO Robert Warren Lawson for securities fraud in selling millions of dollars of municipal revenue bonds to firm ...
Continue reading "Lawson Financial, CEO Robert Lawson Barred for Fraudulent Municipal Bond Sales" »
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