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Securities Fraud Blogs from October, 2015

Most Recent Posts from October, 2015

Oct 29, 2015 FINRA Orders 5 Firms to Pay $18 Million in Restitution for Overcharged Mutual Funds
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Oct 27, 2015 New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk
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Oct 20, 2015 James Christianson Fined, Suspended for Unauthorized Use of Discretion
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Oct 16, 2015 Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges
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Oct 15, 2015 UBS Managed High Yield Plus Fund Board Approves Liquidation Plan
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Oct 14, 2015 FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200
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Oct 9, 2015 Emily S Pao Barred for Failure to Cooperate with Conversion Investigation
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Oct 7, 2015 FINRA Expels Halcyon Cabot Partners and Bars CEO Michael Morris, CCO Ronald Heineman for Fraud, Fee Kickback Scheme
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Oct 1, 2015 FINRA Fines, Suspends Todd Shanholtzer for Mishandling, Misusing $58k of Customer Funds in Variable Annuity Product
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