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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