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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