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Blog Posts in October, 2017

SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints

A Securities Litigation & Consulting Group (SLCG) study ranked brokerage firms based on broker complaint history, finding that nearly one quarter of all brokers employed by Aegis Capital Corp and ...
Continue reading "SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints" »

Bae Keun Yu Suspended for Undisclosed Outside Securities Business

FINRA suspended former Kayan Securities, Inc. broker Bae Keun Yu (aka Byron Yu) of Los Angeles for failing to disclose his involvement with Optima Koam Investments, Inc., an outside business activity ...
Continue reading "Bae Keun Yu Suspended for Undisclosed Outside Securities Business" »

Ex-Newport Coast Securities Broker George Dahl Barred in 15th Disclosure

FINRA barred former Newport Coast Securities (Irvine, California) broker George Jeffrey Dahl of Laguna Woods after he refused to provide testimony during an on-the-record interview. In 2016, FINRA ...
Continue reading "Ex-Newport Coast Securities Broker George Dahl Barred in 15th Disclosure" »

Beware Buffer Annuities - Misrepresentations and Omissions Highlight Complaints of New Risky Product

When FINRA published its 2017 Risk Control Assessment Glossary, it added a term for annuities with structured or buffered options, also referred to as "Structured Annuities" or ...
Continue reading "Beware Buffer Annuities - Misrepresentations and Omissions Highlight Complaints of New Risky Product" »

Wells Fargo Ordered to Pay Restitution of $3.4 Million for Unsuitable Volatility-Linked Exchange-Traded Products

FINRA ordered Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC to pay over $3.4 million in restitution to customers who purchased volatility-linked exchange-traded ...
Continue reading "Wells Fargo Ordered to Pay Restitution of $3.4 Million for Unsuitable Volatility-Linked Exchange-Traded Products" »

Ex-NFP Advisor Services Rep Robert J Regan Suspended for Improper Private Securities Transactions

After FINRA fined and suspended former NFP Advisor Services, LLC (Danville, CA) broker Robert Joseph Regan for selling unapproved private securities, the Certified Financial Planner (CFP) Board of ...
Continue reading "Ex-NFP Advisor Services Rep Robert J Regan Suspended for Improper Private Securities Transactions" »

Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades

FINRA fined and suspended former Amerprise Financial Services brokers Jack B McBride and Stuart L Pearl for misconduct related to use of margin in customer accounts, while McBride additionally ...
Continue reading "Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades" »

Ex-Western International Securities Brokers Brittney J Sias, Clement Chichester Barred by FINRA

FINRA barred former Western International Securities, Inc. brokers Brittney Jade Sias and Clement Lancelot Chichester of the firm's Westlake Village, California branch for failing to cooperate ...
Continue reading "Ex-Western International Securities Brokers Brittney J Sias, Clement Chichester Barred by FINRA" »

SEC Charges Tweed Investment Services and Owner Robert Tweed with Fraud in Athenian Fund Scheme

An SEC complaint filed in the Central District of California alleges that Tweed Financial Services, Inc. and its owner, Robert Russel "Rusty" Tweed, committed fraud through a series of ...
Continue reading "SEC Charges Tweed Investment Services and Owner Robert Tweed with Fraud in Athenian Fund Scheme" »

Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns

FINRA fined, suspended, and ordered former Securities America, Inc. broker Michael Anton Crowe of Mesa, Arizona pay disgorgment for failing to disclose a private securities transaction for ...
Continue reading "Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns" »

Sandlapper Securities Accused of Charging $8 Million in Fraudulent Markups for Saltwater Disposal Well Private Placements

FINRA filed a complaint against Sandlapper Securities, LLC, as well as brokers Trevor Lee Gordon and Jack Charles Bixler, accusing the respondents of willfully defrauding investors by selling ...
Continue reading "Sandlapper Securities Accused of Charging $8 Million in Fraudulent Markups for Saltwater Disposal Well Private Placements" »
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