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Securities Fraud Blogs from April, 2021

Most Recent Posts from April, 2021

Apr 30, 2021 Antoine Nabih Souma Under Investigation After JP Morgan Pays $14 Million to Settle Dispute
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Apr 28, 2021 Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements
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Apr 26, 2021 FINRA Bars John Lee Scott of LPL Financial (Phoenix) During Outside Business Activity nad Private Securities Transaction Investigation
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Apr 21, 2021 SPAC Buying Slows as Regulators Propose Rule Change, Reviews of Prior SPACs
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Apr 13, 2021 Steven Schisler Accused of Recommending Elderly Clients Invest in Promissory Note Issued by Partner Previously Barred for Defrauding Investors
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Apr 12, 2021 Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
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Apr 5, 2021 James Hedges Cited for Misrepresenting, Failing to Disclose $6 Million of Financial Events on Questionnaire
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Apr 1, 2021 Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison
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