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Clear All
December 29, 2014
To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports
December 27, 2014
LPL, Commonwealth's Angela Marie Borchardt, and Kenneth William Schulz Barred for Customer Impersonation Scheme
December 24, 2014
FINRA Charges Wedbush, Peter Julijs Auzers, Shiva Naby, and Samantha Arrieta McAfee in MSRB Supervisory Failure, Untimely Reporting of $13.5 Million-worth of Transactions
December 23, 2014
Wells Fargo Advisors' former advisor, Jeffrey C. McClure, Barred for Taking $88,850 from Elderly Client
December 22, 2014
Wells Fargo Advisors Fined $1.5 Million for Anti-Money Laundering Failures
December 19, 2014
Merrill Lynch Fined $1.9 Million, Ordered to Pay $540,000 in Restitution for GM Fair Pricing and Supervisory Violations
December 17, 2014
Wedbush Ordered to Pay $350,000+ After Losing FINRA Appeal
December 16, 2014
Medical Research Analyst Michael Dinerman Fined and Suspended for Unauthorized Outside Business Activity
