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February 24, 2013 Mark E. Marek Barred When Unsuitable Investment Recommendation After Client Loses Nearly $600,000
February 23, 2013 Broker Gregory Evan Goldstein Fails to Respond to FINRA Requests, Earns Suspension
February 20, 2013 John L. Gathright Jr. Barred for Misappropriating Annuity Funds After Completing VA Surrender Request Forms
February 14, 2013 FINRA Investor Alert: Bond Portfolios Could be At Risk with Looming Interest Rate Hike
February 14, 2013 Jay Sheldon Potter Jr. Fined & Suspended for Confidentially Settling Complaint without Informing Firm
February 13, 2013 Jeffrey Alan Hutman Fined & Suspended in Relation to Variable Annuity Transactions Outside of Firm
February 12, 2013 Richard Lee Ell Sanctioned in Connection with Variable Annuity Transaction Charges & Complaint
February 10, 2013 Mark Everrett Friesen Fined & Suspended for Failing to Report Felony Charges
February 06, 2013 Massachusetts Regulators Order LPL Financial to Pay $2 Million in Restitution
February 05, 2013 Gabriel Arnaud Dupin De Saint Cyr Fined & Suspended After Forging Form Signatures
February 01, 2013 UBS to Change Customers' Objectives, Reclassify Clients as "Aggressive" Investors
February 01, 2013 Henry John Dellaquila Fined $55,000 and Suspended for Unauthorized Variable Annuity Transactions