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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