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Securities Fraud Blogs from 2020

Most Recent Posts from 2020

Dec 17, 2020 FINRA Charges Nicholas Baecker with Forging Customer Signatures on Forms
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Dec 11, 2020 California's Infinity Financial Services Fined $35k Over Inadequate Background Checks of Brokers, Failing to Obtain Industry Approvals
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Dec 9, 2020 FINRA Charges Gregory McCloskey aka Gregory Meier with Covering Up Improper Private Securities Transaction (PST) with a Second Improper PST
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Nov 27, 2020 FINRA Cracks Down on Unit Investment Trust (UIT) Short-Term Trading Abuse at Stifel, Nicolaus & Company
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Nov 25, 2020 FINRA Finds Variable Annuities, Life Insurance Liquidation Strategy Unsuitable, Cites ON Equity Sales Broker
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Nov 20, 2020 American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses
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Nov 17, 2020 SEC Issues Securities America Advisors Cease-and-Desist Order Over XIV, VIXY ETF Trades Resulting in Losses in Over 150 Client Accounts
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Nov 13, 2020 SEC Fines Royal Alliance Associates Over Volatility Linked ETP Failures, Including iPath S&P 500 VIX ETN 'VXX'
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Nov 10, 2020 Vonna Kay Husby Barred During Investigation into Undisclosed Bank Account Co-Owned With Elderly Customer
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