February

Posts in February, 2020

Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses Feb 29
Wells Fargo Advisors and Wells Fargo Clearing Services will pay $35 million in fines for failing to ...
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IFG Broker Martin David Batstone Barred for Fraud After Converting Client Funds Feb 22
FINRA barred ex-Independent Financial Group (San Diego) broker Martin David Batstone for using ...
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Commonwealth Income and Growth Fund at Heart of FINRA Bar for Misuse of Funds Feb 14
Citing a pattern of misconduct involving misuse of investor monies, FINRA barred Commonwealth ...
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Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred Feb 06
FINRA fined Wells Fargo Advisors for failing to reasonably supervise a representative who ...
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SoCal Ameriprise Broker Li Lin Hsu Sentenced for $8.2 Million Fraud Feb 05
Former Ameriprise Financial Services broker Li-Lin Hsu of Southern California received 136 months in ...
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FINRA's Saction of Mason Gann Highlights Risks of Naked Puts Strategy Feb 04
When FINRA suspended former Berthel Fisher broker Mason Gann over a risky options-trading strategy ...
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