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September 30, 2016
Alejandra Valenzuela Barred for Improper Conversion at Morgan Stanley
September 29, 2016
UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
September 21, 2016
Avenir Financial Group Sanctioned, CEO Michael Todd Clements Barred, Rep Karim Ibrahim Suspended for Fraud
September 19, 2016
George Zedan Barred for Elder Abuse and Conversion of 87-Year-Old Customer's Funds, Escapes Prosecution when Victim Dies
September 17, 2016
John Randall Gladden Disciplined for $2.1 Million in Unauthorized Private Securities Transactions Away from the Firm
September 16, 2016
Linda Dowd Disciplined over Pre-Signed Blank Distribution Request Forms, Personal E-mails
September 14, 2016
FINRA Fines Ameriprise Financial $850k over Rep & Manager Weseloh's Conversion of $370,000 from Customers
September 13, 2016
Ex-LPL Broker Cheryl Kerber Fined & Suspended for False Statements About a Loan
