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September 24, 2012 Merrill Lynch Fined $500,000 for Failure to File Required Reports with FINRA
September 20, 2012 SEC Charges Broker with Stealing to Pay Personal Expenses, Investors, Many from Santa Monica, Lose $600,000 in Ponzi Scheme
September 19, 2012 Broker Fong I. Cheang Fined & Suspended for Failing to Disclose Felony Fraud Charges
September 13, 2012 Terminated Morgan Stanley Risk Officer Claims Retaliatiory Firing for Whistleblowing
September 11, 2012 FINRA Bars Thomas P. Casper for Borrowing Money from Customers and Against Firm Rules
September 11, 2012 FINRA Bars Jason Robert Cavalier for Failure to Disclose Material Facts, Lack of Cooperation with Investigation
September 11, 2012 FINRA Suspends Christopher Andrew Carra for Posting Allegedly Misleading Messages
September 11, 2012 FINRA Bars Matthew Leon Bradakis for Misuse of Customer Funds, Soliciting Payment From Client For Outside Business Activity
September 09, 2012 William J. Ferry, Dennis Clinton Found Guilty in $1 Billion Investment Fraud Scheme
September 08, 2012 FINRA Suspends David Waldemar Asplund Jr. for Borrowing $50K from Customers