November

Posts in November, 2016

VALIC Financial Advisors Fined $1.75 Million for Conflict of Interest, Supervisory Failures Related to Variable Annuities Nov 28
FINRA fined VALIC Financial Advisors, Inc. a total of $1.75 million for filing to detect and address ...
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Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments Nov 22
FINRA censured and fined VFG Securities, Inc. and additionally suspended VFG (Vanclef Financial ...
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Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations Nov 19
18 months after ordering Oppenheimer & Co. Inc. to pay $2.5 million in fines and $1.25m in ...
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John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer Nov 16
FINRA barred John Stuart Hudnall, formerly of U.S. Bancorp Investments and BancWest Investment ...
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FINRA Bars Ex-LPL Broker Dominic DeBruin over Undisclosed Private Securities Transactions, Depositing Client Money into Controlled Account Nov 14
FINRA barred former LPL Financial broker Dominic Thomas DeBruin of the firm's Mesa, Arizona branch ...
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Gerald Cocuzzo Pleads Guilty to Securities Fraud in $131 Million Market Manipulation Scheme of ForceField Energy Nov 10
Former Newbridge Securities Corp. broker Gerald "Jerry" John Cocuzzo pleaded guilty in federal court ...
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