June

Posts in June, 2013

STS, Fuad Ahmed Ponzi Scheme results in Million Dollar Losses for NFL, NBA Athletes Who Invested with Jade Wealth Management Jun 29
When FINRA accused Fuad Ahmed and his firm Success Trade Securities ("STS") of an $18 million ...
View Article
Donald Wayne Hastings Barred for Improperly Placing Elderly Customer's Funds in Business Account Jun 28
FINRA barred former Allstate Financial Services LLC broker Donald Wayne Hastings for placing ...
View Article
SEC Approves FINRA Request to Publish Detailed Disciplinary Complaints and Decisions Jun 27
The SEC approved a proposal that will allow FINRA to publicly release copies of all disciplinary ...
View Article
Arbitrator Indictment Spotlights Importance of Conducting Due Diligence in Arbitration Jun 24
A FINRA arbitrator's arrest and subsequent indictment led to an industry policy change while ...
View Article
Steven Robert Aron Barred for Failure to Disclose Information Related to Outside Business Activities Jun 21
FINRA barred former Financial West Group broker Steven Robert Aron of Agoura Hills, California after ...
View Article
Randy Jason Schneider Barred and Ordered to Pay Restitution for Misappropriation of Elderly Customer's Funds and Earnings Jun 20
FINRA barred former Oppenheimer & Co. Inc. broker Randy Jason Schneider for allegedly ...
View Article