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July 26, 2012 Thomas Michael Buehler Fined & Suspended for Lack of Supervision
July 26, 2012 Manhattan Beach Trading Financial Services, Inc. Fined $125,000 for Poor Security Measures Contributing to Identity Theft, Fraudulent Conduct
July 25, 2012 Slava Volman Pleads Guilty, Sent to Prison for Securities Fraud and Conspiracy
July 24, 2012 Harold E. Wilson Barred and Ordered to Pay 10K Restitution for Failure to Contact Customers, Cooperate with FINRA Investigation
July 24, 2012 Alfred Chi Chen Barred for Unauthorized Trading, Unsuitable Recommendations
July 20, 2012 Glenn Andrew Schwarzkopf Accused of Converting Nearly $250,000 of Client's Money for Personal Use
July 17, 2012 FINRA'S Office of Hearing Officers Issues Decision Barring Broker Alan Jay Davidofsky
July 13, 2012 Edward Antonio "Ted" Salazar Ordered to Pay Nearly $1.2 Million and Suspended for Failure to Conduct Due Diligence, Bypassing Firm Oversight
July 13, 2012 Russell Philip Macke Suspended for Excessive Trading and Use of Margin
July 11, 2012 Thomas Brown Hammond Guilty of Theft, Ordered to Pay Over $500,000 in Restitution, Barred from Industry
July 11, 2012 Brett David Henderson Fined $95,000 and Suspended for Unsuitable VA Switch Transactions
July 10, 2012 Real Estate Broker Tony Thompson Suspends Interest Payments to Investors
July 10, 2012 FINRA Issues Investor Alert on Exchange Traded Notes
July 06, 2012 Gary Lee Cousino Barred for Refusing to Cooperate with FINRA Investigation
July 06, 2012 Catheryne June Downs Fined and Suspended for Failure to Provide Timely Notice of Outside EIA Sales
July 02, 2012 Joel William Carlson Barred for Fraudulent Investment Scheme