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Blog Posts in March, 2018

SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme

Having issued southern California broker Timary Ann Delorme aka Timary Kennally Koller a cease-and-desist order and ordering $50,000 in civil penalties for her involvement in Izak Zirk Engelbrecht aka ...
Continue reading "SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme" »

Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction

FINRA fined and suspended former Morgan Stanley (Roseville, CA) broker and supervisor Lisa C. Piazza aka Lisa C. Adamo or Lisa C. Rogers for willfully failing to disclose a burglary charge and ...
Continue reading "Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction" »

Phillip Tibbetts Fined & Suspended for Accepting Unauthorized Loan from Customer

FINRA fined and suspended Phillip Paul Tibbetts for accepting a loan from a customer at Pruco Securities of San Diego without notifying nor receiving authorization from Pruco. Firm policy at the time ...
Continue reading "Phillip Tibbetts Fined & Suspended for Accepting Unauthorized Loan from Customer" »

SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures

The Securities and Exchange Commission initiated cease-and-desist proceeding against Electronic Transaction Clearing, LLC of Los Angeles, finding that the firm moved tens of millions of dollars in ...
Continue reading "SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures" »

Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm

FINRA fined and suspended former Raymond James Financial Services broker and registered supervisor Michael Murphy Hurtgen for soliciting firm customers to invest in private placements away from the ...
Continue reading "Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm" »

David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award

FINRA barred former Madison Avenue Securities (San Diego, CA) broker David Lloyd Barber after finding he exercised discretion and effected unauthorized trades in customer accounts. The bar follows a ...
Continue reading "David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award" »

Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley

FINRA fined and suspended Kevin Chiagan Yang, formerly of Morgan Stanley's Pasadena, CA branch, for exercising discretion without written authorization. The disciplinary action follows several ...
Continue reading "Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley" »

Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations

FINRA fined, suspended, and ordered former ACE Diversified Capital of Los Angeles representative Omer Ozeren to pay restitution to clients whose accounts he allegedly traded on a discretionary basis ...
Continue reading "Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations" »

Study: Fidelity Increased Risk for 6 Million Retirement Savers

As Fidelity's Freedom Funds experienced $16 billion in net withdrawals over the past four years all while outperforming 85% of the competition, a recent Reuters report investigated why withdrawals ...
Continue reading "Study: Fidelity Increased Risk for 6 Million Retirement Savers" »

DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations

Wells Fargo began an investigation into potentially inappropriate referrals and recommendations after the Department of Justice ordered the firm to conduct a review of its sales practices, including ...
Continue reading "DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations" »

Merrill Lynch Fires Christopher Hibbard after Investigation Uncovers Alleged Theft

Merrill Lynch terminated broker Christopher Lee Hibbard following a customer complaint alleging unauthorized transactions and theft related to variable annuities and money market funds. According to ...
Continue reading "Merrill Lynch Fires Christopher Hibbard after Investigation Uncovers Alleged Theft" »
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