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Securities Fraud Blogs from August, 2016

Most Recent Posts from August, 2016

Aug 30, 2016 Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading
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Aug 25, 2016 SEC Fines 13 Firm $2.2 Million for Repeating False ETF Claims by F-Squared Investments
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Aug 24, 2016 Ex-LPL Financial & Crown Capital Broker Eric Kuchel Barred After Failing to Cooperate with Mutual Fund Investigation
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Aug 23, 2016 $150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing
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Aug 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
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Aug 13, 2016 Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry
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Aug 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
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Aug 10, 2016 Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse
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Aug 6, 2016 Hank Werner Charged with Fraudulent Churning, Excessive Trading, Unsuitable VA Recommendation Against Elderly, Blind Widow
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