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October 30, 2016 FINRA Cracks Down on Cross-Selling Programs in Wake of Wells Fargo Fiasco
October 27, 2016 Stuart Dickinson Barred, Restitution Ordered for Recommending Customers Purchase the ATM Alliance Ponzi Scheme
October 25, 2016 Anthony Lombardi Fined and Suspended for Failing to Disclose Outside Insurance Business Activity
October 21, 2016 Ex-LPL Broker Mark Tauzin Suspended, Ordered to Pay $225,000 for Unsuitable UIT Short-Term Trading
October 20, 2016 JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice
October 18, 2016 Gregory Bauer Barred After Forgery Leads to $400,000 in Unauthorized Withdrawals
October 16, 2016 Jeffrey Howell Barred for Inflating Values, Sending False Account Statements to Customer
October 12, 2016 Donald Toomer Barred, Indicted for $30 Million Pump-And-Dump Penny Stock Fraud
October 06, 2016 Cetera Financial Group's Investors Capital Corp to Pay $1.1 Million Over Unit Investment Trust, Steepener Note Sales
October 04, 2016 Betty Lai Johnson Disciplined for Impersonating Customer, Liquidating Account