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Securities Fraud Blogs from 2015

Most Recent Posts from 2015

Dec 31, 2015 CFP Board Suspends David Gabai After FINRA Bar for Alleged Deceptive and Fraudulent Scheme
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Dec 29, 2015 Barclays Capital Ordered to Pay $13.75 Million for Mutual Fund Suitability Violations
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Dec 23, 2015 Merrill Lynch Settles 23 Complaints Against Barred Broker Thomas J. Buck for $4.1 Million
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Dec 22, 2015 Cantor Fitzgerald Sanctioned $7.3 Million for Billions of Unregistered Microcap Sales, Supervisory & AML Failures
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Dec 20, 2015 Fidelity Brokerage Services Ordered to Pay $1 Million for Supervisory Failures Related to Lisa Lewis' Elder Theft
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Dec 19, 2015 J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures
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Dec 14, 2015 William Watson Fined & Suspended for Misleading, Unfair and Unbalanced Marketing
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Dec 4, 2015 SEC Bars of Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos for Churning
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Nov 24, 2015 Joseph Holzhause Barred for False and Misleading Letter, Undisclosed Business Activity
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