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February 24, 2023 Beverly Hills Broker Antoine Souma Barred After Failing to Cooperate with FINRA Investigation
February 10, 2023 Centaurus Financial Penalized $1 Million for Unsuitable Structured Product Sales
August 28, 2022 GWG Holdings Financing Package Approved, Further Highlighting Importance of Pursuing Arbitration with Firms That Sold L Bonds
June 21, 2022 Emerson Equity Predicts Further Adversity as Wholesalers Leave and GWG Holdings L Bond Losses Grow
April 22, 2022 After Causing Investor Losses, Bankrupt GWG Holdings Blames SEC Investigation For GWGH Failures
April 21, 2022 Troubled GWG Holdings Finally Files for Bankruptcy, Sealing Many Investors' Losing Fates
April 13, 2022 GWG Holdings Unit Seeks Waiver of Default
April 12, 2022 GWG Sanctioned by NASDAQ As More Brokerage Sellers Appear
April 08, 2022 GWG Holdings Losses Grow in California with Centaurus, Kingswood's Mark John Williams
April 04, 2022 GWG to File for Chapter 11 Bankruptcy - GWG L Bond Investors May Be Entitled To Damages
March 09, 2022 Investors Advised to "Avoid GWGH" as GWG Holdings Deemed Problematic in 2015
March 04, 2022 KIRN Radio Personality Tony Barouti (Barouti Financial) Under Investigation Over Possible GWG Holdings L Bond Sales
February 26, 2022 L Bond Losses: Defining GWG Holdings' Unsuitably Risky Product
February 24, 2022 Backed into a Collapsing Corner, GWG Holdings Goes Silent, Leaving Investors On the Hook
February 23, 2022 Unsuitably Recommended and Sold to Investors, GWG Holdings L Bonds Lose Value, Paving Way for Arbitration
February 02, 2022 GWG Holdings Pauses L Bond Sales As Large Losses Loom
January 31, 2022 GWG Holdings Fails to Make $13.6 Million in Payments to Investors as Investigations Ramp Up
August 06, 2021 Suntrust Investment Services Rep Stephen Berrocal Accused of Unsuitable Recommendations as Northstar Financial Services (Bermuda) Saga Rolls On
May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
March 11, 2021 Unsuitably Risky SPACs, "A License to Rip Investors Off," Rile SEC and FINRA Regulators
April 25, 2020 Lost Money in Risky Oil & Gas Investments During COVID-19? We're Investigating Claims
April 24, 2020 Brokerages Stop Risk-Laden REIT Sales After Massive Coronavirus Losses
April 03, 2020 The Securities-Based Loan Margin Call Is "Exactly The Risk We Are Focused On," Says FINRA
February 29, 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
September 03, 2019 UBS' Yield Enhancement Strategy Harming Low-Risk Investors Who Say No to YES
July 26, 2019 GPB Capital Sued for Alleged Serious Financial Misconduct
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
June 26, 2019 Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements
June 25, 2019 Profits Before People - GPB Capital Paid High Commissions to Sell Troubled Products
June 13, 2019 Nina Jessee Latest Cetera Advisors Broker Barred by FINRA
January 23, 2019 FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
December 19, 2018 FINRA and SEC Launch Investigation of GPB Capital Holdings
December 17, 2018 Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018
December 10, 2018 FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations
December 02, 2018 Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
November 29, 2018 Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
September 19, 2018 UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis
September 15, 2018 Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation
September 11, 2018 HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation
August 23, 2018 Massive Woodbridge Fraud Grows as 5 Charged With Selling $243 Million of Ponzi Product to 1,600 Investors
August 16, 2018 SEC Issues Ameriprise Financial Cease-and-Desist Order over Failure to Detect Misappropriation and Fraud
August 09, 2018 Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website
July 26, 2018 National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct
July 18, 2018 Financial, Energy Sectors Feature in 10 Funds with Largest Losses in First Half of 2018
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
June 26, 2018 Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges
March 21, 2023 As Credit Suisse Shareholders Suffer Losses, AT1 Bond Holders Lose Everything
December 15, 2022 Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
October 06, 2022 As Credit Suisse Nears Financial Jeopardy, Potential Customer Losses Loom for its Structured Products
September 27, 2022 ProMedica Health System Downgraded, $2+ Billion Debt Spurring Review for Junk Status and Possible Default
September 15, 2022 SagePoint Financial Sanctioned for Supervisory Failures, Excessive Margin for Elderly Client
June 15, 2022 Megurditch Patatian Barred for $8 Million of Unsuitable REIT & Variable Annuity Recommendations
June 11, 2022 Brokerage Firm IFP Securities that Sold Doomed GWG Holdings Products Deliberately Sought Risky Products
May 13, 2022 Ex-Morgan Stanley Broker Nikolay Zotenko Cited for Improperly Marketing Private Placements
May 09, 2022 LPL Financial Broker Bruce Amman Cited for Transacting $3.5 Million Private Placement Without LPL Approval
May 06, 2022 TCFG Broker Janie Garza-Clark Barred After Fraud Complaint, Investigation
April 27, 2022 Berthel Fisher Fined $100,000 for Options Trading Compliance Failures in Elderly Client's Account
March 25, 2022 FINRA Fines Dempsey Lord Smith & BD4RIA for Private Placement Sales of "Ponzi-like" GPB Capital
March 24, 2022 Geneos Wealth Management to Pay $400,000 for Improper Alt Investment Sales
February 21, 2022 Purshe Kaplan Sterling Charged Over Unsuitable Leveraged ETF Sales Causing $2.3 Million in Losses
February 16, 2022 Emerson Equity-Pushed GWG L Bonds Face Imminent Default After Failing to Pay Investors
February 08, 2022 Raymond James Under Investigation for Northstar Financial Services (Bermuda) Sales
January 06, 2022 RBC Capital's Unsuitable Concentration in High-Yield Bonds Nets $1 Million Settlement
November 22, 2021 Non-Traded Real Estate Investment Trusts: Recovering Damages when a Broker Unsuitably Recommends a REIT
October 19, 2021 Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages
July 31, 2021 SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations
July 21, 2021 UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX
June 16, 2021 Corey White Barred Over Supervisory & Red Flag ETP Failures at Financial West Group Because "There Were Too Many to Review"
May 13, 2021 IRS Warns of Conservation Easement Tax Scams as Brokers Raise Billions
April 21, 2021 SPAC Buying Slows as Regulators Propose Rule Change, Reviews of Prior SPACs
April 12, 2021 Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
March 26, 2021 While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales
March 22, 2021 Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures
November 20, 2020 American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses
November 17, 2020 SEC Issues Securities America Advisors Cease-and-Desist Order Over XIV, VIXY ETF Trades Resulting in Losses in Over 150 Client Accounts
September 19, 2020 Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean
May 23, 2020 SunTrust Investment Services to Pay $634,000 Over Unsuitable ETF Sales
May 20, 2020 Brokerage Warning Issued for Oil-Linked ETPs, Including US Oil Fund
May 10, 2020 FINRA: LPL Financial Unsuitably Sold Elderly Clients Risky REITs After Broker Lied About Customers' Net Worth
May 01, 2020 Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
April 23, 2020 Integrity Brokerage Services CEO Joshua Helmle Accused of Deliberately Defying FINRA, Allowing Disqualified Broker Marc Jaffe to Work While Ineligible and Serve While Unregistered
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
April 06, 2020 Accurate Record Keeping & Supervision Vital as FINRA Temporarily Lifts Rules, SEC Suspends In-Person Exams During Pandemic
April 01, 2020 Caution Urged as UBS, HSBC Recommending Asian Structured Products to Top Clients
April 01, 2020 Corona Virus Plagues Risky Structured Products, Reverse Convertibles
March 31, 2020 Exchange-Traded Notes At Heightened Risk Due to COVID-19's Market Volatility
March 27, 2020 Excess Concentration Can Prove Disastrous During Economic Downturn
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
February 04, 2020 FINRA's Saction of Mason Gann Highlights Risks of Naked Puts Strategy
January 27, 2020 FINRA Bars NYLife's Kari Bracy Over $300 Million Ponzi Scheme Future Income Payments Misrepresentation
January 17, 2020 Citigroup, YieldStreet Plans Risky Hedge Fund Product for Retail Customers
December 31, 2019 Hicks Latest Broker Accused of Unsuitable High-Risk REIT and BDC Sales to Senior Citizen Investors
October 31, 2019 Ami Forte & Charles Lawrence Barred for Churning Dementia-Laden Elderly Client's Account
October 15, 2019 Newbridge Fined $225,000 for Complex Securities, ETF Supervision Failures
August 26, 2019 Ex-Cetera Broker Merhoff Racking Up Complaints After FINRA Bar
May 08, 2019 Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr.
July 12, 2018 FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
July 02, 2018 Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
June 11, 2018 Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients
June 08, 2018 $1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought
June 05, 2018 Losses in LJM Partners' Funds Spotlight Suitability, Risk Management in Complex Mutual Funds
May 21, 2018 Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk
May 18, 2018 Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline
May 16, 2018 Credit Suisse CEO Warned Unsophisticated Investors Not to Invest in XIV as Lawsuit Alleges Fraud
May 14, 2018 SEC Warned of Volatility-Linked Exchange-Traded Notes' Complexity Before XIV Crash
May 11, 2018 'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk
May 08, 2018 Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities
April 10, 2018 Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
March 28, 2018 SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme
March 14, 2018 Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations
March 13, 2018 Study: Fidelity Increased Risk for 6 Million Retirement Savers
February 19, 2018 Volatility Funds Take a Dive - VelocityShares, ProShares VIX Round Out Worst Performing Volatility ETPs
February 08, 2018 Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls
January 31, 2018 FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
January 19, 2018 Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy
January 10, 2018 Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives
January 04, 2018 Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule
December 29, 2017 Ranking the 20 Worst Performing Mutual Funds by Lowest Return
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
December 11, 2017 NEXT Financial to Pay $750,000 in Latest Disciplinary Action Concerning Habitual Deficiencies and Systematic VA Failures
December 04, 2017 Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account
November 28, 2017 Brietburn Energy Partners (BBEPQ) Drops 99% In Value After Risks Become Reality
November 27, 2017 Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco
November 22, 2017 Ex-Morgan Stanley Rep Timothy T Gibbons Suspended, to Pay $737,000 for Unsuitable Oil & Gas Over-Concentration in Elderly Accounts
November 10, 2017 Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints
October 19, 2017 Beware Buffer Annuities - Misrepresentations and Omissions Highlight Complaints of New Risky Product
October 16, 2017 Wells Fargo Ordered to Pay Restitution of $3.4 Million for Unsuitable Volatility-Linked Exchange-Traded Products
September 27, 2017 Ex-Royal Alliance, Next Financial, and Dominion Investment Rep Roger Hudspeth Pleads Guilty to $6 Million Fraud
September 22, 2017 SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations
September 20, 2017 Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients
September 19, 2017 With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended
September 18, 2017 "Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation
August 15, 2017 FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations
August 01, 2017 LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees
July 28, 2017 FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer
July 27, 2017 PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale
July 22, 2017 FINRA NAC Affirms OHO Bar of David Escarcega for Fraudulent Misrepresentations to Elderly Clients in Arizona, California and Washington
July 14, 2017 Robert Tweed Named in False & Misleading Private Placement Memorandum Complaint, Fraud Investigation
July 05, 2017 Poorly Performing Mutual Funds Place Money Managers in Jeopardy
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
June 01, 2017 Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades
May 31, 2017 FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations
April 28, 2017 Demitrios Hallas Charged in Unsuitable ETF Investment, Fraudulent $170k Misappropriation Scheme
February 21, 2017 Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud
February 14, 2017 Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses
January 26, 2017 New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"
January 18, 2017 Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities
December 09, 2016 Christopher Ariola Barred, Ordered to Pay $138k in Restitution for Unsuitable Gold & Energy Recommendations
December 02, 2016 MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
November 22, 2016 Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
October 21, 2016 Ex-LPL Broker Mark Tauzin Suspended, Ordered to Pay $225,000 for Unsuitable UIT Short-Term Trading
October 20, 2016 JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice
September 29, 2016 UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
September 12, 2016 Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration
September 06, 2016 Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000
August 22, 2016 Morgan Stanley to Pay $4.7 Million for Failure to Supervise Broker's Unauthorized Trading, Settlement to Include Dimes-on-the-Dollar Payment to Burned Clients
August 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
July 28, 2016 James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment
July 05, 2016 Deutsche Bank Securities Fined $6 Million for Inaccurate and Late Blue Sheet Data
June 29, 2016 Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
May 04, 2016 David Miller Barred, Ordered to Pay $800k in Restitution for Unsuitable UIT Recommendations
April 25, 2016 Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations
March 19, 2016 Risky, Unsuitable Investments in Poorly Performing Energy, Oil and Gas Ventures May Lead to FINRA Claims
March 15, 2016 UBS Preparing Sales of High-Yield CoCo Bonds, A Risky Debt That Can Bail Out Banks At Expense of Investors
March 05, 2016 David Escarcega Barred for Fraudulent Statements, Unsuitable Debenture Sales to Elderly Clients
February 24, 2016 Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence
February 19, 2016 George Johnson Barred, Christopher Wynne Suspended for Market Manipulation Scheme
February 12, 2016 FINRA bars brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP.
February 10, 2016 FINRA Issues Investment Alert for Bait-and-Switch Marketing Ploy Involving High-Yield CD Offers
February 01, 2016 Oil, Gas & Emerging Market Funds Among Those with Worst Total Losses Over Past Three Years
January 27, 2016 Sales Practices Related to Credit Suisse, Velocity Shares, JPMorgan Notes, and Other Structured Products Remain Area of Concern
January 13, 2016 FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms
December 15, 2015 William Watson Fined & Suspended for Misleading, Unfair and Unbalanced Marketing
October 27, 2015 New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk
September 22, 2015 FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct
August 06, 2015 Wells Fargo Advisors Censured, Fined $500,000, $242k in Restitution Ordered for Unsuitable STRATS Sales
July 27, 2015 Volatile Complex Exchange Traded Products (ETFs, ETNs, etc.) May Be Unsuitable for Conservative Investors
July 13, 2015 Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert
June 24, 2015 SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts
March 13, 2015 With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz
January 06, 2015 JP Morgan Downgrades Falling Caterpillar Stock Over Oil and Gas Exposure
January 05, 2015 High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst
January 01, 2015 Risks and Rewards Abound for Closed-End Funds
December 24, 2014 FINRA Charges Wedbush, Peter Julijs Auzers, Shiva Naby, and Samantha Arrieta McAfee in MSRB Supervisory Failure, Untimely Reporting of $13.5 Million-worth of Transactions
December 04, 2014 JP Morgan to Pay $485,000 in Damages for Overly Concentrated Investments
November 18, 2014 RCS Capital Confirms SEC, FINRA and MA State Regulator Investigations over $23m Error
November 16, 2014 NASAA Names Top 9 Investor Threats for 2015
November 15, 2014 OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors
November 13, 2014 Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error
November 12, 2014 Sally Samaris Barred for Failure to Cooperate in Mortgage Fraud Investigation
November 06, 2014 Cetera Financial Group Broker-Dealer Network Suspends Some Nicholas Schorsch REITs
October 30, 2014 National Planning Holdings Halts American Realty Capital Nontraded REIT Sales over $23m Accounting Problem
September 16, 2014 FINRA Releases Frontier Funds Investment Alert
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 05, 2014 Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
May 01, 2014 NSM Securities, Bhasin, Bhagwani & Balchandani Disciplined for Supervisory, Suitability and Compliance Failures, Churning and Unauthorized Trading Activity
April 27, 2014 Douglas Frank Cmelik Fined & Suspended for Inaccurately Marked "Unsolicited" Penny Stock Sales
March 25, 2014 LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales
January 30, 2014 SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
January 26, 2014 SEC National Exam Program's Investment Adviser & Company Priorities for 2014
January 09, 2014 FINRA Orders Stifel, Nicolaus & Company, Century Securities to Pay Over $1 Million in Fines, Restitution Over Unsuitable Non-Traditional ETF Sales, Supervisory Deficiencies
January 07, 2014 FINRA Tells Firms to Put Clients First with Conflicts of Interest Report
January 06, 2014 FINRA Targets Frontier Funds: A Developing Market Mutual Funds Primer
December 24, 2013 Gary J. Chackman Barred for Unsuitable Non-traded REIT Transactions
December 18, 2013 Solicited Leveraged ETF Tickets Marked as Unsolicited is Risky Business
December 09, 2013 JP Turner Ordered to Pay Over $700,000 in Restitution for Unsuitable Complex ETF Sales, Excessive Switching
December 02, 2013 Morgan Keegan, Stephens Inc. Fined, Restitution Ordered for Inappropriate Volatile Nontraditional ETF Sales
November 14, 2013 FINRA: Volatile Interest Rates Are Next Major Threat to Investment Portfolios
October 17, 2013 NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats
October 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
October 11, 2013 558% Increase in Reverse Convertible Sales at Bank of America Signifies Acceptance of Increased Volatility and Risk
September 18, 2013 Private Placement Offerings Require Research and Contemplation of Risk
August 12, 2013 A Survey of Reverse Convertible Risks as Bank of America Takes Structured Note Sales Title
July 28, 2013 Suitability, Recommendation Compliance and the Risk Tolerance Questionnaire Shortfall
July 25, 2013 FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market
July 11, 2013 Massachusetts Investigation into REITs: Firms Targeting Seniors for High-Risk Products
May 22, 2013 FINRA: Firms Must Adhere to Industry Rules and Be Honest with Investors
April 14, 2013 Once Granted, Permission to Trade with Discretion Can Be Problematic
March 24, 2013 LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
February 24, 2013 Mark E. Marek Barred When Unsuitable Investment Recommendation After Client Loses Nearly $600,000
February 01, 2013 UBS to Change Customers' Objectives, Reclassify Clients as "Aggressive" Investors
November 27, 2012 Investors Beware: "Free Lunch" Investment Seminars Are Not Always What They Seem

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