February

Posts in February, 2017

Vincent Payne Suspended for Forgery, Falsifying Customer Signatures Feb 27
FINRA suspended former Farmers Financial Solutions of Woodland, CA rep Vincent Bee Payne for ...
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Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine Feb 24
FINRA ordered Purshe Kaplan Sterling Investments to pay $3.4 million in restitution to a Native ...
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Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud Feb 21
FINRA expelled Plano, Texas-based Red River Securities, LLC, barred Red River CEO Brian Keith ...
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LPL Financial Fined $900,000 for Failing to Send Required Account Notices, Supervisory Failures Feb 16
FINRA fined LPL Financial $900,000 for failing to send customers more than 1.6 million account ...
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Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses Feb 14
Morgan Stanley Smith Barney settled an SEC complaint for $8 million in fines and admitted ...
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Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses Feb 14
One month and four days after filing a complaint alleging that Kelly Clayton Althar made unsuitable ...
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