March

Posts in March, 2015

H. Beck, LaSalle St. Securities, and J.P. Turner & Company Fined $700,000 for Inadequate Supervision Mar 31
FINRA fined firms H. Beck, Inc., LaSalle St. Securities, LLC, and J.P. Turner & Company, LLC a ...
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Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton Mar 27
FINRA sanctioned brokerage firm Oppenheimer & Co. Inc. a total of $3.75 million—which includes a ...
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Loreta Salinas Nelson Fined & Suspended for Serving as Co-Trustee for 100-year-old Client Without Firm Permission Mar 26
FINRA suspended former MetLife Securities Inc. broker Loreta Salinas Nelson of Murrieta, California ...
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Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities Mar 24
A FINRA Office of Hearing Officers order suspended former Transamerica Financial Advisors, Inc. ...
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Nicholas C. Kramer Barred for Misappropriating Funds by Using Fake Identity Mar 19
FINRA barred former Wells Fargo Advisors, LLC broker Nicholas Charles Kramer for using a fake ...
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With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz Mar 13
After 14 customers filed separate disputes alleging misrepresentation and falsification of ...
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