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February 27, 2017 Vincent Payne Suspended for Forgery, Falsifying Customer Signatures
February 24, 2017 Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine
February 21, 2017 Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud
February 16, 2017 LPL Financial Fined $900,000 for Failing to Send Required Account Notices, Supervisory Failures
February 14, 2017 Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses
February 14, 2017 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
February 13, 2017 Matthew Maczko Barred for Churning in 93-Year-Old Client's Account, Resulting in Loss; Misleading Testimony
February 09, 2017 Dion Padilla Sanctioned for Unauthorized, Misrepresented, and Concealed Variable Annuity Purchase
February 07, 2017 James Calder Sanctioned for Unauthorized Outside Business Activity
February 06, 2017 After Separation from JP Morgan, Robert Stewart Says He Just Followed Firm's Longstanding Practice
February 03, 2017 Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud
February 02, 2017 Lawson Financial, CEO Robert Lawson Barred for Fraudulent Municipal Bond Sales