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Securities Fraud Blogs from July, 2019

Most Recent Posts from July, 2019

Jul 31, 2019 Eric Nichols Suspended for Settling Customer Complaint Away from Morgan Stanley
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Jul 30, 2019 NBC Securities' Brian DiJulio Cited for Unauthorized Short-Term Discretionary Trades
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Jul 26, 2019 GPB Capital Sued for Alleged Serious Financial Misconduct
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Jul 24, 2019 Trading in a Dead Client's Account Nets Former Wells Fargo Broker Michael Garris a Fine and Suspension
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Jul 22, 2019 FINRA Disciplines LPL Financial's Eric Savell Over Undisclosed Outside Business Activity
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Jul 16, 2019 Convicted Fraudster Daniel Vazquez Gets Prison for Swindling Seniors Out of $2.6 Million
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Jul 10, 2019 Signator's Jeffrey Lundstrom Cited for Failing to Disclose $100,000 in Liens
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Jul 10, 2019 Raymond James Compliance Officer Barred for Falsifying Data
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Jul 9, 2019 After Customers Suffer Losses, FINRA Cites Cetera's Summit Brokerage Services for Failing to Review Excessive Trade Alerts
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