February

Posts in February, 2014

Sutherland Review: FINRA Fines Decrease 27%, Actions Reported Remains Flat Feb 28
Compared to 2012, FINRA issued a nearly identical number of disciplinary actions in 2013, but ...
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Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales Feb 25
FINRA fined Berthel, Fisher & Company Financial Services, Inc. and its affiliate, Securities ...
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Former Wedbush Securities Rep Karen Ann Mendez Barred for Misappropriation of Funds, Falsified Records Feb 20
FINRA barred former Wedbush Securities Inc. representative Karen Ann Mendez of Southern California ...
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Former Merrill Lynch Adviser Gary H. Lane Given 10 Year Prison Sentence for Defrauding Elderly Investors via Ponzi Scheme Feb 18
The U.S. District Court sentenced former Bank of America Merrill Lynch financial adviser Gary ...
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Patrick Joseph Donohue Barred for Prohibited Business Activities with Elderly Clients, False Statements & Unauthorized Wire Transfers Feb 17
FINRA barred California broker Patrick Joseph Donohue, formerly of Morgan Stanley Smith Barney, for ...
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Jose Jesus Martinez Jr. Barred for Wrongful Conversion of Elderly Customer Funds Feb 14
FINRA barred former JPMorgan Chase Bank branch officer manager Jose Jesus Martinez, Jr. for ...
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