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January 25, 2019
Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
September 15, 2022
SagePoint Financial Sanctioned for Supervisory Failures, Excessive Margin for Elderly Client
August 20, 2020
Wedbush's David Hirons Accused of Unauthorized Trading
April 20, 2020
Wedbush Broker James Richards Cited for Supervision Failure Over Multi-Million Dollar Margin Deficits
April 16, 2020
CFP Board Suspends California's Michael Altobell & Richard LaBare
March 25, 2020
Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
March 24, 2020
Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
August 21, 2019
FINRA Sanctions SoCal Brokers for Failing to Cooperate with Investigations
May 21, 2018
Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk
April 03, 2018
In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation
March 21, 2018
SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures
January 16, 2018
FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin
October 11, 2017
Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades
May 01, 2017
Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors
December 01, 2016
Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts
June 06, 2014
Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 01, 2014
NSM Securities, Bhasin, Bhagwani & Balchandani Disciplined for Supervisory, Suitability and Compliance Failures, Churning and Unauthorized Trading Activity
October 15, 2013
SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
July 22, 2013
John Thornes Barred for Stealing $4.2 Million from Elderly Alzheimer's, Scholarship Accounts
May 18, 2013
Greg John Campbell Barred in $2+ Million Misappropriation Scheme
July 13, 2012
Russell Philip Macke Suspended for Excessive Trading and Use of Margin
June 29, 2012
Investing on Margin Carries Additional Risks and May Result in Unintended Consequences
