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2015

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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
November 24, 2015 Joseph Holzhause Barred for False and Misleading Letter, Undisclosed Business Activity
November 16, 2015 Scottrade Fined $2.6 Million for Failing to Keep E-mails and Records, Poor Supervision
November 10, 2015 MetLife: FINRA to Seek Significant Fine for Variable Annuities Violations
November 05, 2015 Anthony Kerrigone Fined $10k & Suspended for Selling Short Securities He Failed to Locate
October 29, 2015 FINRA Orders 5 Firms to Pay $18 Million in Restitution for Overcharged Mutual Funds
October 27, 2015 New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk
October 20, 2015 James Christianson Fined, Suspended for Unauthorized Use of Discretion
October 16, 2015 Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges
October 15, 2015 UBS Managed High Yield Plus Fund Board Approves Liquidation Plan
October 14, 2015 FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200
October 09, 2015 Emily S Pao Barred for Failure to Cooperate with Conversion Investigation
October 07, 2015 FINRA Expels Halcyon Cabot Partners and Bars CEO Michael Morris, CCO Ronald Heineman for Fraud, Fee Kickback Scheme
October 01, 2015 FINRA Fines, Suspends Todd Shanholtzer for Mishandling, Misusing $58k of Customer Funds in Variable Annuity Product
September 25, 2015 Heidi Diana Carter Barred After Investigation into Alleged Theft from Customer
September 24, 2015 FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
September 22, 2015 FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct
September 20, 2015 Dean Michael Yurica Fined, Suspended for Falsifying Customer Documents, Re-Using Signatures
September 16, 2015 FINRA Fines, Suspends Tyler Boone Powell for Improper Use of Discretion
September 14, 2015 Marisa Nicole Pickar Suspended for Falsifying Documents, Reusing Customer Signatures
September 10, 2015 Darlene Kay Bandy Barred for Failure to Cooperate with Investigation into Conversion of Funds
September 09, 2015 La Mesa's Robert Earl Holaday Accused of Forging Customer Signatures
September 08, 2015 Investor Alert Warns of Pump-And-Dump Scams Delivered Through WhatsApp, Other Messaging Apps
September 03, 2015 Former B.B. Graham Broker Russell P. Macke Suspended After 16th FINRA Disclosure
August 31, 2015 CFP Board Suspends Broker Michael T. Ryan of Santa Ana for Unauthorized Outside Business Activities
August 28, 2015 FINRA Bars Former Securities America Broker Derek Lee Miller Over Unsuitable Trading Investigation
August 26, 2015 Charles Schwab Fined $2 Million for Significant Net Capital and Supervisory Deficiencies
August 24, 2015 Rush to Sell Overwhelms Brokerages, Shuts Online Clients Out from Transactions as Stocks Fall
August 19, 2015 Glenn Moffitt Barred Over Allegations He Converted Over $370,000 from Elderly Customer, Churned His Accounts
August 18, 2015 Walter Chao Fined and Suspended for Selling Facebook IPO Shares Away from LPL Financial, Supervisory Failures
August 12, 2015 'Real Housewives of Beverly Hills' StockCross Financial Services Firm Fined for Naked Short Selling
August 11, 2015 Gehrin Michael Ortiz Barred After Investigation into Material Disclosure Violations and Omissions
August 07, 2015 Caldwell International Securities Corp's Rasheed "Richard" Adams Barred for Churning, Excessive Trading
August 06, 2015 Wells Fargo Advisors Censured, Fined $500,000, $242k in Restitution Ordered for Unsuitable STRATS Sales
August 05, 2015 Michael J Talin Barred for Failure to Cooperate with Misappropriation, Elder Theft Investigations
August 04, 2015 FINRA Fines Aegis Capital $950,000 for Unregistered Penny Stock Sales and AML Violations
July 31, 2015 Ex-Billion-Dollar Merrill Lynch, RBC Broker Thomas J. Buck Barred for Overcharging and Misleading Clients, Fraud
July 27, 2015 Volatile Complex Exchange Traded Products (ETFs, ETNs, etc.) May Be Unsuitable for Conservative Investors
July 22, 2015 Merill Lynch Fires Senior VP Marc D Lowe of the $2.5 Billion Vilardo, Lowe & Associates Team for "Inappropriate Workplace Behavior"
July 20, 2015 FINRA Bars John Anthony Waszolek for Improperly Appointing Himself Successor Trustee for Diminished Capacity Elder, Attempting to Inherit $1.8 Million
July 17, 2015 Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors
July 15, 2015 FINRA Fines Ascendiant Capital Markets of Irvine, CA for Failure to Supervise, Inadequate Handling of Customer Complaint
July 14, 2015 Former JP Morgan Chase Banker Daniel Colon Barred for Taking Money from Customer
July 13, 2015 Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert
July 13, 2015 Jeffrey David Daggett Fined & Suspended for Unsuitable ETN, Non-Traditional ETF Recommendations
July 09, 2015 Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors
July 08, 2015 F-Squared Files for Bankruptcy in Wake of $35 Million Settlement Over False Performance Claims
July 07, 2015 FINRA Board Candidate Brian Kovack Says He'll Represent Firms, Not Investors
July 03, 2015 SEC Charges Malcolm Segal with $15m Ponzi Scheme Selling Fake CDs, Unrealistic Interest Rate
July 01, 2015 Misappropriation Nets Broker Roderick Yzaguirre 10 Disclosures in 2 Months, Over $3.3 Million in Damages
June 29, 2015 Bruce R Geiger Fined & Suspended for Falsifying Annuity and Life Insurance Forms Causing $500k in Withdrawals
June 24, 2015 SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts
June 23, 2015 Morgan Stanley & Scottrade Fined $950,000 for Failing to Detect Third-Party Wire Transfers due to Inadequate Supervisory Systems
June 18, 2015 Wells Fargo Accused of Deficient Due Diligence on ETF-Based F-Squared Investment Losses
June 17, 2015 Heedo "Joshua" Han Barred for Failure to Cooperate with Investigation into Forgery Case
June 13, 2015 SEC Charges Chad Wiegand, Akis Eracleous with Insider Training, Duo Agrees to Securities Ban
June 11, 2015 Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment
June 09, 2015 Michael A. DeMaria Fined & Suspended for Unauthorized Transfer of Customer Funds
June 05, 2015 William G Stapleton Barred After Investigation into Annuity Misrepresentations
May 25, 2015 JP Morgan Chase, Citigroup, Barclays, RBS, UBS Admit to Criminal Conduct, Fined $6 Billion; JPMorgan Issues Disclosure Notice
May 21, 2015 Bradley Claus Barred for Misrepresentation, Unauthorized Oil & Gas and Restaurant Investment Solicitations and Transactions
May 19, 2015 FINRA Complaint Charges Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi & D Michael Cruz with Illegal Microcap Sales of $1.7 Million
May 15, 2015 Morgan Stanley Fined $2 Million for Short Sale & Interest Reporting Violations
May 12, 2015 SEC Charges Radio Hosts Christopher A. Novinger, Brady J. Speers and Their Companies with Fraudulent Life Settlement Interest Sales, Making False Claims to Investors
May 08, 2015 Raymond Daniel Schmidt Barred After Borrowing $2.25 Million from LPL Financial Clients
May 06, 2015 SEC Investigating JPMorgan Over Potentially Improper Proprietary Fund Sales, Fiduciary Standard Violations
May 06, 2015 FINRA Sanctions LPL Financial $11.7 Million for Major Supervisory Failures in ETF, REIT and VA Products
May 05, 2015 James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme
May 01, 2015 Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers
April 29, 2015 FINRA Orders Avenir Financial Group to Stop Selling to Elderly Customers, Bars Cesar Rodriguez for Fraud
April 28, 2015 CFP Board Censures 23 Advisors, Issues Revocations, Suspensions for Unethical Practices
April 23, 2015 FINRA Fines RBC $1 Million, Orders $434,000 in Restitution for Reverse Convertible Failures
April 21, 2015 Former JPMorgan Broker Michael Oppenheim Charged for Stealing $20 Million from Clients
April 16, 2015 Commonwealth Capital Corp. CEO Kimberly Springsteen-Abbott Barred, Disgorgement Ordered for Misusing Investor Funds
April 14, 2015 Under FINRA Investigation for Duping Elderly Investors, Broker Richard Ohrn Fakes Disappearance at Sea
April 10, 2015 New Hampshire Regulator Seeks $3.6 Million from LPL for Unsuitable REIT Sales to Elderly Clients
March 31, 2015 H. Beck, LaSalle St. Securities, and J.P. Turner & Company Fined $700,000 for Inadequate Supervision
March 27, 2015 Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton
March 26, 2015 Loreta Salinas Nelson Fined & Suspended for Serving as Co-Trustee for 100-year-old Client Without Firm Permission
March 24, 2015 Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities
March 19, 2015 Nicholas C. Kramer Barred for Misappropriating Funds by Using Fake Identity
March 13, 2015 With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz
March 11, 2015 FINRA Censures and Fines UBS $500,000 for Failing to Disclose Broker Issues to Regulators
March 07, 2015 FINRA Bars Broker Michael Korson for Misusing Investor Funds from an Undeclared Outside Business Activity
March 05, 2015 Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds
March 04, 2015 FINRA Fines & Suspends Former Murphy & Durieu CCO Frede for Compliance Failures, Penny Stock Woes
February 28, 2015 Former LPL Broker James Rosebrough Fined & Suspended for Undisclosed Outside Business Activity
February 25, 2015 Gregory James Bolduc Fined & Suspended for Faking Customer Signatures on Disclosure Forms
February 20, 2015 OHO Bars Sharon H Goodale After Allegations of Improperly Signing Pre-Filled Applications
February 19, 2015 Michael Richard Crow Fined and Suspended for Unauthorized Use of Discretion
February 17, 2015 Foothill Securities, CCO Stephen Shipp Fined $235k for Inadequate Policies, Systems and Procedures
February 15, 2015 BMA Securities Compliance Officer Dudley Muth Fined & Suspended for Inadequate AML Systems
February 12, 2015 Former Compliance Officer Suing Cabot Lodge for Firing After He Reported Firm Misconduct
February 09, 2015 Ronald Paul Rafaloff Barred for Converting Elderly Retiree's Funds for Personal Use
February 06, 2015 FINRA Punishes JP Morgan's Gary R. Dennis for Outside Business Activity, and Shannon S. Hampton for Check Kiting
February 05, 2015 Paul DeFilippis Fined & Suspended for Helping Move Elderly Client's Funds to New Account in DeFilippis' Name
February 04, 2015 William R. Kinyon Barred for Misuse of Elderly Client's Variable Annuity Funds
February 02, 2015 Shawn Michael Richardson Censured and Fined for Exercising Discretion Without Permission
January 29, 2015 Oppenheimer to Pay $20 Million, Admit Guilt for Penny Stock Violations, Pump-and-Dump Schemes
January 27, 2015 FINRA Fines, Suspends BMA Securities President Burt Martin Arnold for Compliance Failures
January 22, 2015 Ex-UBS Broker Donna Jessee Tucker Barred, Convicted of Fraud for Stealing from Elderly in Ponzi-like Scheme
January 19, 2015 Kevin Luby Fined $25k, Suspended for Disclosure Failures Related to Elderly Customer's Trust and Estate
January 18, 2015 UBS Fined Record $12 Million Plus $2.5m in Disgorgement, Interest for Dark Pool Disclosure Violations
January 16, 2015 Merrill Lynch Fined $175k for Failing to Timely Report Complaints of Defrauding Adviser Who Escaped to LPL
January 14, 2015 FINRA Bars George Carris, Expels Firm John Carris Investments for Fraud and Recklessness
January 13, 2015 David Rose Sentenced, Restitution Ordered for $2 Million Medical Investment Fraud
January 11, 2015 'Wall Street 2's Anastasios Belesis Barred, Restitution Ordered for Penny Stock Violations, Trading Ahead, Hiding Evidence
January 10, 2015 Securities-Based Lending, Alt Funds Catch FINRA's Eye in 2015
January 09, 2015 Chase Bishop Casson Barred for Failure to Cooperate with Investigation into Private Securities Transactions
January 08, 2015 FINRA Files Complaint Against Bradley Claus, Alleging Improper Oil and Gas Sales, Falsely Tying a Security to Justin Timberlake
January 07, 2015 Fiduciary Duty - Putting Customers First - Tops FINRA's Regulation Priorities for 2015
January 07, 2015 Pershing LLC Fined $3 Million for Supervisory, Customer Protection Violations
January 06, 2015 JP Morgan Downgrades Falling Caterpillar Stock Over Oil and Gas Exposure
January 05, 2015 High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst
January 02, 2015 Sagepoint's Daryl R. Lemon Barred for Margin Abuse, Excess Fees After 1,000+ Transactions in Elderly Client's Discount Brokerage Account
January 01, 2015 Risks and Rewards Abound for Closed-End Funds

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