October

Posts in October, 2012

William Michael Jordan Fined and Suspended for Improper Recommendations and Lack of Due Diligence Related to Third Party's Slush Fund Operation Oct 22
The Financial Industry Regulatory Authority suspended William Michael Jordan of Laguna Hills, ...
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John Charles Guys Barred for Misappropriation of Funds, Creating Fake Premium Finance Agreements and Forging Customer Signatures Oct 22
The Financial Industry Regulatory Authority barred broker John Charles Guys of Fairfield, ...
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Stuart L Funke Suspended for Soliciting $500,000 in Loans without Firm Approval Oct 22
The Financial Industry Regulatory Authority has suspended Stuart L. Funke through October 15, 2013 ...
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Fidelity Brokerage Fined $375,000 for Misleading Advertising, Supervisory Failures Related to Mutual Fund Sales Oct 20
The Financial Industry Regulatory Authority has fined Fidelity Brokerage Services, LLC and Fidelity ...
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Attila Gyula Toth Accused of Soliciting an Investment and Misusing Customer Funds Oct 15
The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Workman ...
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Ralph Thomas Gannett Suspended for Inadequate Due Diligence Related to Private Placement Sale Oct 12
The Financial Industry Regulatory Authority suspended Ralph Thomas Gannett, most recently of ...
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