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Securities Fraud Blogs from March, 2014

Most Recent Posts from March, 2014

Mar 26, 2014 Arbitrator James H. Frank Removed From FINRA'S Roster of Arbitrators After Lying About Credentials
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Mar 25, 2014 LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales
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Mar 22, 2014 Irvine Firm Accelerated Capital Group Fined for Misleading and Exaggerated Website Information
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Mar 20, 2014 Merrill Lynch Associate Andres Enrique Rojas Barred for Impersonating Client
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Mar 18, 2014 Citigroup Global Markets Ordered to Pay $1.1 Million for Illegal Short Selling Prior to Public Offerings, Supervisory Failures
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Mar 15, 2014 Integral Financial, Weiming "Frank" Ho Fined for Repeated Non-Compliant Communications in Complex Product Promotions
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Mar 14, 2014 SEC Charges Brokers Michael Horowitz, Moshe Marc Cohen with $80 Million Variable Annuity Fraud
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Mar 11, 2014 Girard Securities Fined for Supervisory Failures Concerning Fraud Prevention Tactics
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Mar 9, 2014 Running with Scissors: SEC Closely Monitoring Advisors' Use of Hot-Button Alternative Mutual Funds
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