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July 31, 2014 Five Newport Coast Brokers Charged with Churning Resulting in $1 Million Losses
July 28, 2014 Jason O'Neal Lampier Barred for Fraudulent Misrepresentations Related to Oil and Gas Limited Partnerships
July 25, 2014 David Paul Diehl Suspended, Fined for Failure to Pay Promissory Note Interest, No Notification to Firm
July 18, 2014 William C. Yi Barred for Altering Customer's Check, Converting Funds for Personal Use
July 15, 2014 SEC: Financial Exploitation of Older Adults is an Urgent Issue
July 10, 2014 James William Murphy, Guilty of Fraud, Barred for Misuse, Conversion of Funds for Personal Use
July 06, 2014 Kent Michael Houston Fined $75k & Suspended for Concealing Compensated Trustee Activity
July 03, 2014 FINRA Bars Steven Yi for Failure to Provide Information
July 02, 2014 FINRA Enforcement Charges Mark Foster with Failure to Cooperate with Investigation