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Securities Fraud Blogs from April, 2014

Most Recent Posts from April, 2014

Apr 27, 2014 Douglas Frank Cmelik Fined & Suspended for Inaccurately Marked "Unsolicited" Penny Stock Sales
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Apr 25, 2014 Background Checks for Brokers Newest Requirement for FINRA-Member Firms
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Apr 23, 2014 Infinex Fined for Unsuitable Recommendations of Non-Traditional Inverse, Leveraged ETFs
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Apr 17, 2014 Study: Brokers Who Fail Basic Securities Exams Have More BrokerCheck Black Marks, Disclosures
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Apr 16, 2014 SEC Charges San Diego's Total Wealth Management with Fraud in Kickbacks Scheme
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Apr 11, 2014 Magnolia Gaerlan Fined & Suspended for Effecting Unauthorized Wire Transfers
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Apr 7, 2014 Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information
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Apr 6, 2014 Michelle Lee Kern Barred for Unlawful Conversion of $669,000 in Client Funds
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Apr 2, 2014 Former MetLife Brokers Christopher Birli & Patrick Chapin Named in Civil Complaint Regarding $21 Million Annuities Scheme
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