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September 07, 2018
Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations
September 29, 2018
Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients
September 21, 2018
FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License
September 19, 2018
UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis
September 17, 2018
Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred
September 15, 2018
Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation
September 11, 2018
HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation
September 10, 2018
Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme
