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2016

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December 29, 2016 Former ACAP AML Compliance Officer Gary Hume Barred for Improper Unregistered Penny Stock Liquidation
December 22, 2016 Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures
December 20, 2016 FINRA Bars Ken Balser After Investigation into Private Securities Transactions
December 17, 2016 Kai Chen Fined & Suspended for Unauthorized Use of Discretion at Credit Suisse
December 13, 2016 FINRA Sanctions Davood Kohan for Improperly Settling Complaint Away from Firm
December 09, 2016 Christopher Ariola Barred, Ordered to Pay $138k in Restitution for Unsuitable Gold & Energy Recommendations
December 06, 2016 Credit Suisse Securities Fined $16.5 Million for Significant Supervisory Deficiencies in Detecting Suspicious Microcap Trades
December 05, 2016 FINRA's Recent Sanctions Underscore Compensation and Conflict of Interest Priorities
December 02, 2016 MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
December 01, 2016 Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts
November 28, 2016 VALIC Financial Advisors Fined $1.75 Million for Conflict of Interest, Supervisory Failures Related to Variable Annuities
November 22, 2016 Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments
November 19, 2016 Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations
November 16, 2016 John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer
November 14, 2016 FINRA Bars Ex-LPL Broker Dominic DeBruin over Undisclosed Private Securities Transactions, Depositing Client Money into Controlled Account
November 10, 2016 Gerald Cocuzzo Pleads Guilty to Securities Fraud in $131 Million Market Manipulation Scheme of ForceField Energy
November 09, 2016 Stanley Niekras Accused of Misrepresentation, Billing Elderly Clients for $70,000-worth in Fabricated Fees
November 07, 2016 Tracy Turner's 35th Disclosure is Complaint Alleging $4.1 Million Private Securities Misconduct
November 02, 2016 Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
October 30, 2016 FINRA Cracks Down on Cross-Selling Programs in Wake of Wells Fargo Fiasco
October 27, 2016 Stuart Dickinson Barred, Restitution Ordered for Recommending Customers Purchase the ATM Alliance Ponzi Scheme
October 25, 2016 Anthony Lombardi Fined and Suspended for Failing to Disclose Outside Insurance Business Activity
October 21, 2016 Ex-LPL Broker Mark Tauzin Suspended, Ordered to Pay $225,000 for Unsuitable UIT Short-Term Trading
October 20, 2016 JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice
October 18, 2016 Gregory Bauer Barred After Forgery Leads to $400,000 in Unauthorized Withdrawals
October 16, 2016 Jeffrey Howell Barred for Inflating Values, Sending False Account Statements to Customer
October 12, 2016 Donald Toomer Barred, Indicted for $30 Million Pump-And-Dump Penny Stock Fraud
October 06, 2016 Cetera Financial Group's Investors Capital Corp to Pay $1.1 Million Over Unit Investment Trust, Steepener Note Sales
October 04, 2016 Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account
September 30, 2016 Alejandra Valenzuela Barred for Improper Conversion at Morgan Stanley
September 29, 2016 UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
September 21, 2016 Avenir Financial Group Sanctioned, CEO Michael Todd Clements Barred, Rep Karim Ibrahim Suspended for Fraud
September 19, 2016 George Zedan Barred for Elder Abuse and Conversion of 87-Year-Old Customer's Funds, Escapes Prosecution when Victim Dies
September 17, 2016 John Randall Gladden Disciplined for $2.1 Million in Unauthorized Private Securities Transactions Away from the Firm
September 16, 2016 Linda Dowd Disciplined over Pre-Signed Blank Distribution Request Forms, Personal E-mails
September 14, 2016 FINRA Fines Ameriprise Financial $850k over Rep & Manager Weseloh's Conversion of $370,000 from Customers
September 13, 2016 Ex-LPL Broker Cheryl Kerber Fined & Suspended for False Statements About a Loan
September 12, 2016 Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration
September 07, 2016 Jerry McCutchen Barred in Connection with Over 20 Customer Complaints Alleging REIT & Alt Investment Unsuitability, Misrepresentations
September 06, 2016 Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000
August 30, 2016 Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading
August 25, 2016 SEC Fines 13 Firm $2.2 Million for Repeating False ETF Claims by F-Squared Investments
August 24, 2016 Ex-LPL Financial & Crown Capital Broker Eric Kuchel Barred After Failing to Cooperate with Mutual Fund Investigation
August 23, 2016 $150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing
August 22, 2016 Morgan Stanley to Pay $4.7 Million for Failure to Supervise Broker's Unauthorized Trading, Settlement to Include Dimes-on-the-Dollar Payment to Burned Clients
August 13, 2016 Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry
August 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
August 10, 2016 Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse
August 06, 2016 Hank Werner Charged with Fraudulent Churning, Excessive Trading, Unsuitable VA Recommendation Against Elderly, Blind Widow
August 03, 2016 SoCal Broker Brian Egan Barred for Failing to Disclose 87 Brokerage Accounts at an Outside Firm
August 02, 2016 Ex-California Broker Daniel McKelvey Pleads Guilty in Fraudulent Shell Corporation Penny Stock Scheme
July 29, 2016 Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm
July 28, 2016 James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment
July 27, 2016 FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation
July 23, 2016 Ex-Wells Fargo Advisor Bradley Smegal Charged with Securities Fraud for Defrauding Clients Out of $5 Million, Making Ponzi Payments
July 22, 2016 FINRA Considering New Fund for Unpaid Arbitration Awards
July 21, 2016 Bernard McGee Barred for Fraudulent Annuity Sales, Lying About Surrendering Elderly Client's VA for Charitable Gift Annuity
July 20, 2016 Prudential Annuities Fined $950k for Failing to Prevent Theft of $1.3 Million From Elderly Client's VA
July 18, 2016 Wedbush Drops Appeal of $1 Million Fine for "Egregious" and "Willful" Blue Sheet Failures
July 16, 2016 Complaint Against First Financial Equity Corp Alleges Supervisory Failures, Excessive Commissions
July 14, 2016 Nickolus Finley (Waddell & Reed/San Diego) Cited for Copying & Pasting Customer's Signature
July 13, 2016 Former HSBC & MKM Partners Rep Luis F Gil Sanctioned for Brokering Without a License
July 11, 2016 Update: Winston Turner Barred for Variable Annuity Fraud and/or Deception
July 06, 2016 Ex-Merrill Lynch Broker John Arnold Sanctioned After His False Statements, Procedural Failures Allow Fraudster to Steal $127,200
July 05, 2016 Deutsche Bank Securities Fined $6 Million for Inaccurate and Late Blue Sheet Data
June 30, 2016 WFG Advisors Fined, Censured $100k for Overcharging Customers in Alt Investment, REIT Sales
June 29, 2016 Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
June 24, 2016 Merrill Lynch to Pay $415 Million in SEC Order for Misusing Customer Cash, in Addition to $5 Million FINRA order for Materially Misleading Investors
June 23, 2016 Merrill Lynch Fined $5 Million for Failure to Disclose Material Facts, Costs in Structured Note Sales
June 22, 2016 SEC Charges Ash Narayan, The Ticket Reserve with Fraud in Ponzi-Like Sports Ticketing Scheme
June 20, 2016 Kory Keath Named in Complaint Over Elderly Client's Trust Oddities, Unreported Gift
June 16, 2016 Robert Myers Fined $20k, Suspended for Disputed VA Fees Classified as Unapproved Outside Business Compensation
June 15, 2016 Former CCO Allen Holeman the Latest Oppenheimer & Co. Broker in Trouble with FINRA
June 13, 2016 FINRA Fines Morgan Stanley $80,000 for Supervisory Failures, Deletion of 21k OTC Options Positions
June 09, 2016 Shannon Rowland Barred for Converting Funds for Personal Use
June 08, 2016 Oppenheimer & Co Sanctioned $2.9 Million for Unsuitable Complex ETF Trades Amongst Elderly Customers
June 06, 2016 Daniel Miller Fined, Suspended for Undisclosed Outside Real Estate, Private Securities Transactions
June 03, 2016 Yahoo! Finance Message Board Posting re: IFAN
June 02, 2016 E*Trade Securities Censured, Fined $900k for Trade Review & Supervisory Failures, Failure to Ensure Protection of Confidential Info
June 01, 2016 FINRA Charges Jim Seol with Unauthorized WRCI, EB-5 Immigration Outside Business Activity
May 27, 2016 FOG Equities Fined $60k, Brokers David Spack & Scott Epstein Fined and Suspended for AML, Due Diligence Failures in Penny Stock Transactions
May 20, 2016 Raymond James Fined $17 Million for Systematic Anti-Money Laundering Failures
May 19, 2016 Thrivent's Miguel Hernandez Barred for Defrauding Elderly Church-Going Client
May 16, 2016 Crowdfunding Fraud is Possible, Cautions FINRA in News Release for New Startup Investment Opportunities
May 13, 2016 Robert Kerrigan Investigated for Undisclosed USA Barcelona Outside Business Facing Fraud Charge, Barred for Refusal to Cooperate
May 11, 2016 FINRA Announces MetLife VA Information for Harmed Investors: Acceptance of Compensation Does Not Prevent Pursuit of Claims Against MetLife
May 09, 2016 Robert Turpin Barred for Failing to Cooperate with Selling Away Investigation
May 05, 2016 FINRA Opens Investigation into John Hudnall for Alleged Improper REIT Sale to Senior, Annuity Violations & Selling Away
May 04, 2016 David Miller Barred, Ordered to Pay $800k in Restitution for Unsuitable UIT Recommendations
May 03, 2016 MetLife Securities Ordered to Pay Record-High $25 Million for Negligent Variable Annuity Replacement App Misrepresentations and Omissions
April 29, 2016 Paul Valencia Fined & Suspended for Discretionary Trading Without Customer or Firm Authorization
April 26, 2016 Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes
April 25, 2016 Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations
April 21, 2016 Ryan Logan Fined & Suspended for Improperly Changing Client Contact Information, Causing Inaccurate Database
April 20, 2016 Equinox Securities, Stephen Oliveira & Chris Palkowitsh Barred for Excessive Trading & Churning in Customer Accounts, IRAs
April 15, 2016 Greg Taylor Accused of Unethical Conduct Involving 75-Year-Old Widow with Dementia, False Statement to Firm
April 13, 2016 Former Wedbush Associate Shiva Naby Fined $25k & Suspended for Falsifying MSRB Documents
April 13, 2016 Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses
April 08, 2016 Daniel Liang Fined & Suspended for Falsifying HSBC Documents, Requesting Customers Sign Blank/Incomplete Mutual Fund Forms
April 05, 2016 FINRA Files Complaint Against BrokerBank, Alleging Misleading Press Releases & Recommendations
March 31, 2016 Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures
March 29, 2016 Coburn & Meredith Fined $75k, Ordered to Pay $203k in Restitution for Failing to Apply UIT Sales Charge Discounts
March 25, 2016 Facing Possible Discipline, Scottsdale Capital Advisors Sues FINRA Over Enforcement Authority
March 23, 2016 Wedbush Securities Fined $675,000 for Supervisory Violations in 'Chronic' ETF Delivery Failures, Short Sales
March 19, 2016 Risky, Unsuitable Investments in Poorly Performing Energy, Oil and Gas Ventures May Lead to FINRA Claims
March 15, 2016 UBS Preparing Sales of High-Yield CoCo Bonds, A Risky Debt That Can Bail Out Banks At Expense of Investors
March 11, 2016 William Brown Fined & Suspended for Improper Discretionary Trading Without Authorization
March 09, 2016 Charged with Fraud, Ex-JPMorgan's Michael Oppenheim Sentenced to Five Years for Stealing $20 Million from Clients
March 07, 2016 FINRA Fines RBC Capital $300k for Failing to Disclose Reps' Unsatisfied Liens and Judgments
March 06, 2016 Bahram Mirhashemi Barred for Churning, Excessive Trading & Unsuitable Sales to Elderly Clients Resulting in Losses
March 05, 2016 David Escarcega Barred for Fraudulent Statements, Unsuitable Debenture Sales to Elderly Clients
March 04, 2016 Quest Capital Strategies Fined for Mutual Fund Supervisory Failures, Including Monitoring for Double-Charging Customers
March 02, 2016 7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers
March 02, 2016 Former MetLife & Prudential Broker Winston Turner Accused of Variable Annuity Fraud and/or Deception
March 01, 2016 Goldman Sachs Places Luke Thornburn on Leave for Unapproved Outside Business Activity
February 26, 2016 Firms That Sold 'Ponzi' UDF REITs May Be On the Hook in Wake of FBI Raid, SEC Investigation
February 24, 2016 Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence
February 21, 2016 Finance 500 Fined & Censured for Inadequate Supervision, Misleading Ads
February 19, 2016 George Johnson Barred, Christopher Wynne Suspended for Market Manipulation Scheme
February 18, 2016 FBI Raids United Development Funding in Investigation; UDF Shares Plummet
February 17, 2016 SoCal Broker Angelo Talebi Fined & Suspended for Improper Trading in Customer's Account
February 12, 2016 FINRA bars brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP.
February 10, 2016 FINRA Issues Investment Alert for Bait-and-Switch Marketing Ploy Involving High-Yield CD Offers
February 08, 2016 Next Financial Group, Key Investment Services & Stephens, Inc. to Pay $1.2 Million in Fines and Restitution for Discount Failures
February 01, 2016 Oil, Gas & Emerging Market Funds Among Those with Worst Total Losses Over Past Three Years
January 27, 2016 Sales Practices Related to Credit Suisse, Velocity Shares, JPMorgan Notes, and Other Structured Products Remain Area of Concern
January 26, 2016 Robert Richards Fined and Suspended Over Penny Stock Price Manipulation
January 23, 2016 10 High-Yield Bond Funds Posting Largest Negative Returns Over Past Year
January 19, 2016 Former LPL Broker Timothy Richard Yee Fined & Suspended for Unapproved Outside Transactions
January 15, 2016 Irvine's Finance 500 Fined $400k, Multiple Brokers Banned over Penny Stock Sales
January 13, 2016 FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms
January 09, 2016 Michael Nahass Fined & Suspended for Undisclosed Outside Business, False Representations
January 06, 2016 2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
January 04, 2016 LPL Financial Ordered to Pay $750k for Improper REIT Sales to Elderly Client

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