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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