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Securities Fraud Blogs from October, 2016

Most Recent Posts from October, 2016

Oct 30, 2016 FINRA Cracks Down on Cross-Selling Programs in Wake of Wells Fargo Fiasco
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Oct 27, 2016 Stuart Dickinson Barred, Restitution Ordered for Recommending Customers Purchase the ATM Alliance Ponzi Scheme
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Oct 25, 2016 Anthony Lombardi Fined and Suspended for Failing to Disclose Outside Insurance Business Activity
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Oct 21, 2016 Ex-LPL Broker Mark Tauzin Suspended, Ordered to Pay $225,000 for Unsuitable UIT Short-Term Trading
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Oct 20, 2016 JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice
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Oct 18, 2016 Gregory Bauer Barred After Forgery Leads to $400,000 in Unauthorized Withdrawals
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Oct 16, 2016 Jeffrey Howell Barred for Inflating Values, Sending False Account Statements to Customer
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Oct 12, 2016 Donald Toomer Barred, Indicted for $30 Million Pump-And-Dump Penny Stock Fraud
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Oct 6, 2016 Cetera Financial Group's Investors Capital Corp to Pay $1.1 Million Over Unit Investment Trust, Steepener Note Sales
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