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Securities Fraud Blogs from January, 2017

Most Recent Posts from January, 2017

Jan 31, 2017 Citigroup to Pay $18 Million for Overbilling Clients, Misplacing Decades-Worth of Client Contracts
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Jan 26, 2017 New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"
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Jan 24, 2017 Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints
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Jan 18, 2017 Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities
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Jan 10, 2017 Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts
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Jan 5, 2017 2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity
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