2012

Posts In 2012

Take Charge Financial, Inc., Joan Anne Perry Expelled & Barred for Unauthorized Transfers, Failure to Report Complaints, Inappropriate Borrowing of Customer Funds Dec 30
The Financial Industry Regulatory Authority has expelled Take Charge Financial, Inc. of Los Gatos, ...
View Article
Michael D. Montgomery Sentenced to 5 Years in Prison Following Wire Fraud Conviction Dec 29
Following his June guilty plea in connection with charges of wire fraud and filing a false tax ...
View Article
Paul Ellsworth McIntosh Barred for Unauthorized Trading Resulting in $40,000 in Customer Losses Dec 28
The Financial Industry Regulatory Authority barred broker Paul Ellsworth McIntosh for unauthorized ...
View Article
Matthew Donald Newman Fined & Suspended in Connection with Altered Form Submissions Dec 28
The Financial Industry Regulatory Authority fined and suspended Matthew Donald Newman, formerly of ...
View Article
Daniel Leland Chiddister Fined & Suspended for Impersonating Potential Customers Dec 20
The Financial Industry Regulatory Authority suspended stockbroker Daniel Leland Chiddister and fined ...
View Article
Financial West Investment Group Censured & Fined for Inadequate Diligence, Failure to Execute Bond Transactions at Reasonable Prices Dec 20
The Financial Industry Regulatory Authority censured and fined broker-dealer Financial West ...
View Article