May

Posts in May, 2016

FOG Equities Fined $60k, Brokers David Spack & Scott Epstein Fined and Suspended for AML, Due Diligence Failures in Penny Stock Transactions May 27
FINRA censured and fined FOG Equities, LLC $60,000, and fined & suspended former FOG AML & Chief ...
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Raymond James Fined $17 Million for Systematic Anti-Money Laundering Failures May 20
FINRA fined Raymond James & Associates, Inc. and Raymond James Financial Services a total of $17 ...
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Thrivent's Miguel Hernandez Barred for Defrauding Elderly Church-Going Client May 19
FINRA barred Miguel Angel Hernandez ( CRD 4733002 ), formerly of Thrivent Investment Management in ...
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Crowdfunding Fraud is Possible, Cautions FINRA in News Release for New Startup Investment Opportunities May 16
May 16 marks a new era of financial opportunity as investors may now buy securities in early-stage ...
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Robert Kerrigan Investigated for Undisclosed USA Barcelona Outside Business Facing Fraud Charge, Barred for Refusal to Cooperate May 13
FINRA barred Robert Joseph Kerrigan Sr., formerly of First Financial Equity Corporation (Scottsdale, ...
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FINRA Announces MetLife VA Information for Harmed Investors: Acceptance of Compensation Does Not Prevent Pursuit of Claims Against MetLife May 11
As part of MetLife Securities, Inc.'s industry-record sanction and $20 million fine for variable ...
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