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December 31, 2015
CFP Board Suspends David Gabai After FINRA Bar for Alleged Deceptive and Fraudulent Scheme
December 29, 2015
Barclays Capital Ordered to Pay $13.75 Million for Mutual Fund Suitability Violations
December 23, 2015
Merrill Lynch Settles 23 Complaints Against Barred Broker Thomas J. Buck for $4.1 Million
December 22, 2015
Cantor Fitzgerald Sanctioned $7.3 Million for Billions of Unregistered Microcap Sales, Supervisory & AML Failures
December 20, 2015
Fidelity Brokerage Services Ordered to Pay $1 Million for Supervisory Failures Related to Lisa Lewis' Elder Theft
December 19, 2015
J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures
December 15, 2015
William Watson Fined & Suspended for Misleading, Unfair and Unbalanced Marketing
December 04, 2015
SEC Bars of Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos for Churning
