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Forgery

September 02, 2020 Raymond James Broker Mark Boucher Accused of $2.2 Million Fraud, Stealing From Dead Client
November 05, 2019 SEC Bars James Booth (Ex-LPL Financial) Over $5 Million Ponzi Scheme Victimizing Elderly Clients
April 01, 2019 Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations
March 11, 2019 SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud
January 22, 2019 FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final
December 18, 2018 Annemarie Thomas Suspended for Facilitating Wire Without Proper Authorization
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
January 14, 2022 Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers