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Securities Fraud Blogs from March, 2018

Most Recent Posts from March, 2018

Mar 28, 2018 SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme
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Mar 27, 2018 Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction
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Mar 22, 2018 Phillip Tibbetts Fined & Suspended for Accepting Unauthorized Loan from Customer
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Mar 21, 2018 SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures
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Mar 19, 2018 Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm
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Mar 16, 2018 David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award
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Mar 15, 2018 Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley
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Mar 14, 2018 Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations
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Mar 13, 2018 Study: Fidelity Increased Risk for 6 Million Retirement Savers
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