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Blog Posts in 2019

20 Worst Bond Fund Returns of 2018 Feature Debt & Emerging Market Funds

Most of the 20 worst performing fixed-income funds in 2018 had three things in common: first, they trended toward significant holdings in corporate debt. Second, the funds held an average expense ...
Continue reading "20 Worst Bond Fund Returns of 2018 Feature Debt & Emerging Market Funds" »

Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital

FINRA fined and suspended Thomas Edward Burns III for a series of errors on Alternative Investment Forms while at Crown Capital Securities (Orange, CA) that resulted in customer complaints and caused ...
Continue reading "Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital" »

Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study

A recent InvestmentNews editorial illustrates that broker-dealers may still be liable for the actions of its brokers, even if the rogue broker sells away from the firm or otherwise engages non-clients ...
Continue reading "Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study" »

FINRA Charges Raymond James', Amerprise's Vincent Storms with Falsifying Reports to Prevent OBA Audit Follow-Up

FINRA filed a complaint alleging that former Raymond James and Ameriprise Financial Services broker Vincent Joseph Storms falsified data submitted to Raymond James related to branch audits, causing ...
Continue reading "FINRA Charges Raymond James', Amerprise's Vincent Storms with Falsifying Reports to Prevent OBA Audit Follow-Up" »

Complaint Alleges Shopoff Securities Fraudulently Sold $12.6 Million of Promissory Notes

FINRA's Department of Enforcement alleges that William Anthony "Bill" Shopoff, Stephen Robert Shopoff, and their firm, Shopoff Securities of Irvine, California fraudulently sold nearly ...
Continue reading "Complaint Alleges Shopoff Securities Fraudulently Sold $12.6 Million of Promissory Notes" »

Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California

With 14 customer disputes and millions paid in settlements since 2015 surrounding allegations of unsuitable recommendations, unauthorized trading, overconcentration, abuse of margin, fraud, elder ...
Continue reading "Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California" »

LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided

Shortly after FINRA barred former LPL Financial broker Christopher Joseph Lossing for failing to cooperate with its investigation, we're learning why Lossing was in trouble to begin with, as LPL ...
Continue reading "LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided" »

FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities

FINRA identified several sales practice risks and investor protection points of emphasis in its 2019 risk monitoring and examination priorities letter, building upon a 2018 decision to concentrate on ...
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FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final

After FINRA barred former NMS Capital Securities (Beverly Hills, California) brokers Arthur Mansourian, Trevor Michael Saliba, Richard Daniel Tabizon (all Southern California), and Sperry Randall ...
Continue reading "FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final" »

Nicholas Maddox Barred for Failing to Answer FINRA Questions

FINRA barred former TCFG Wealth Management (Laguna Niguel, CA) and US Bancorp Investments (Santa Fe Springs/Cerritos) representative Nicholas Brent Maddox for failing to answer investigator's ...
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Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents

FINRA fined and suspended former Edward Jones and Waddell & Reed broker Donald Logan for exercising 365 discretionary trades in 42 customer accounts from 2014 through 2018, all without ...
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Paul Wishingrad Sanctioned for Unauthorized Use of Discretion in UBS Client Accounts

FINRA fined and suspended Paul Steven Wishingrad for using discretion in customer accounts held at UBS Financial Services in Beverly Hills, CA without authorization, and after reportedly being warned ...
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Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme

FINRA barred former Mutual Securities Inc. (Sacramento, CA) broker Gary Lyle Pevey for selling $1.11 million in Woodbridge promissory notes to 15 investors. Woodbridge is the name of the real estate- ...
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John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud

In a textbook example of red flags and warning signs to watch out for, prosectors charged former Wells Fargo Advisors Financial Network representative John Gregory Schmidt with 128 felony counts, ...
Continue reading "John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud" »

2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks

The Securities and Exchange Commission announced its 2019 examination priorities, with an emphasis on protecting investors—especially senior clients and retirement accounts—from excessive ...
Continue reading "2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks" »
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