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October 30, 2014 National Planning Holdings Halts American Realty Capital Nontraded REIT Sales over $23m Accounting Problem
October 29, 2014 Merrill Lynch Fined $6 Million for Short Sale Violations and Supervisory Failures
October 23, 2014 At LPL Financial, Higher Q3 Charges For Regulatory Costs
October 21, 2014 Jonathan Kohanof Barred for False Testimony in Insider Trading Investigation
October 16, 2014 SEC Charges Former Wells Fargo Compliance Officer Judy K. Wolf with Altering Documents
October 15, 2014 Thomas David Sharp Fined and Suspended for Improper REIT E-mail Solicitations
October 14, 2014 Travis Capson, Arnab Sarkar Fined and Suspended for Failing to Disclose Outside Business Activity, Denari Capital LLC
October 10, 2014 Luciano Andres Battioli Barred for Conversion, Forgery and Falsification
October 07, 2014 Jo Ellen Fisher Barred, Sued for Allegedly Stealing $1 Million from 95-Year-Old Client
October 02, 2014 SWS Charged with Inadequate Supervision of VA Transactions