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Blog Posts in March, 2017

CUSO Financial Services to Pay $172.5k in Fines and Restitution for Mathew Hartshorn's Unsuitable UIT Sales

FINRA fined CUSO Financial Services and ordered restitution for 76 unsuitable unit investment trust (UIT) transactions totaling $4.6 million that regulators say resulted in losses sustained by ...
Continue reading "CUSO Financial Services to Pay $172.5k in Fines and Restitution for Mathew Hartshorn's Unsuitable UIT Sales" »

First Financial Equity CCO Melissa Strouse Punished for Suitability, ETF, Heightened Supervision Failures

FINRA fined and suspended First Financial Equity Corporation Chief Compliance Officer Melissa Ann Strouse of the firm's Arizona and San Diego, CA branches for her role in failing to ensure ...
Continue reading "First Financial Equity CCO Melissa Strouse Punished for Suitability, ETF, Heightened Supervision Failures" »

Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away

FINRA suspended former Morgan Stanley representative, and one-time pitcher for Major League Baseball's Philadelphia Phillies, Patrick Dennis Combs for eliciting a $500,000 investment in a ...
Continue reading "Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away" »

Craig Dima Barred for $15 Million of Unauthorized & Unsuitable Trades in Elderly Client's Retirement Account

FINRA barred former KC Ward Financial broker Craig David Dima for making unauthorized and unsuitable trades totaling $15 million in a 73-year-old client's retirement account, and for making ...
Continue reading "Craig Dima Barred for $15 Million of Unauthorized & Unsuitable Trades in Elderly Client's Retirement Account" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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