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Securities Fraud Blogs from October, 2012

Most Recent Posts from October, 2012

Oct 22, 2012 John Charles Guys Barred for Misappropriation of Funds, Creating Fake Premium Finance Agreements and Forging Customer Signatures
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Oct 22, 2012 Stuart L Funke Suspended for Soliciting $500,000 in Loans without Firm Approval
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Oct 22, 2012 William Michael Jordan Fined and Suspended for Improper Recommendations and Lack of Due Diligence Related to Third Party's Slush Fund Operation
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Oct 20, 2012 Fidelity Brokerage Fined $375,000 for Misleading Advertising, Supervisory Failures Related to Mutual Fund Sales
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Oct 15, 2012 Attila Gyula Toth Accused of Soliciting an Investment and Misusing Customer Funds
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Oct 12, 2012 Ralph Thomas Gannett Suspended for Inadequate Due Diligence Related to Private Placement Sale
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Oct 12, 2012 United Planners & CCO Douglas Hall Fined for Lack of Supervision with respect to Variable Annuities
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Oct 10, 2012 FINRA Complaint Alleges Harry Ward Hunt Engaged in Excessive and Unsuitable Trading, Resulting in Commissions Paid to Broker
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Oct 9, 2012 Complaint Issued Against John Cherry III Alleging Improper Use, Conversion of Customer Funds
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