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2012
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May 25, 2012
Rafael Ramon Sanchez Barred for Fraudulent Misconduct
May 24, 2012
Timothy David Cochrane Permanently Barred for Fraudulent Investment Scheme
May 22, 2012
Charles Oscar Boneck, Jr. Barred by FINRA for Unauthorized Transactions
May 17, 2012
Discipline: Midas Securities & Registered Principal Jay S. Lee Disciplined for Unlawful, Irresponsible Conduct
May 16, 2012
Arbitration: Wells Fargo Ordered to Buy Back $2.2 Million in Auction Rate Securities
May 04, 2012
Arbitration: JPMorgan Chase & Co. Ordered to Pay Client $1.9 Million, Only a Fraction of $26.7 Million Claimed in Damages
