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Securities Fraud Blogs from 2022

Most Recent Posts from 2022

Dec 22, 2022 FINRA Bars PFS Vice President Desiderio Torrez After Customer Complaint
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Dec 15, 2022 Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
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Dec 13, 2022 LPL Financial Fined $150k, Admonished for Failing to Supervise Broker Involved in Ponzi Scheme
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Nov 29, 2022 Morgan Stanley Broker David Lau Sanctioned for Unauthorized Discretionary Trades
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Nov 22, 2022 Edward Turley Barred After Settling Suitability and Fraud Claims Worth $47 Million
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Nov 13, 2022 Pasadena-Based Western International Securities Fined $400k for Deficient REIT Supervision
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Nov 8, 2022 Stephen Romney Swensen, Crew Capital Group Named in $30 Million Ponzi Scheme Complaint
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Nov 3, 2022 FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
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Oct 27, 2022 FINRA's First Regulation Best Interest AWC
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