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August 30, 2017 Facing Allegations of Fraud and Churning, Frederick Houck Suspended for Unauthorized Use of Discretion
August 29, 2017 John Kostic Sanctioned, Disgorgement Ordered for Unauthorized Private Securities Transactions
August 27, 2017 SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme
August 25, 2017 OHO Issues Decision Barring Jim Jinkook Seol over Undisclosed EB-5 Business
August 23, 2017 Say Nie Sam Sanctioned for Falsifying Wire Transfer Forms
August 21, 2017 Jay Dee Jordan Barred for Unsuitable ETF Trading Resulting in $8 Million Loss, Settling Away
August 15, 2017 FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations
August 10, 2017 Buyer Beware - Worst Performing Mutual Funds & ETFs From 2012-2017
August 09, 2017 Howard Hull Fined & Suspended for Firm's Supervisory Failures
August 07, 2017 Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires
August 03, 2017 Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties
August 01, 2017 LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees