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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