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Securities Fraud

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February 08, 2021 SEC Charges GPB Capital Holdings, Ascendant Capital, with $1.7 Billion Ponzi Scheme Defrauding 17,000 Retail Investors
September 11, 2020 Stifel Nicolaus Broker Steven Rodemer to Pay $385,536 to Settle SEC Claims He Scammed Elderly Widow
June 15, 2020 Raymond James Broker Frederick Stow Charged with Fraud After $943,500 IRA Theft
November 05, 2019 SEC Bars James Booth (Ex-LPL Financial) Over $5 Million Ponzi Scheme Victimizing Elderly Clients
July 26, 2019 GPB Capital Sued for Alleged Serious Financial Misconduct
July 05, 2019 SEC Complaint Names LPL Financial Ex-Broker Kerry Lee Hoffman Alongside Fraudster Thomas Conwell
July 02, 2019 Dunkerley Named in $43 Million Dollar Fraud Scheme Tied to LAFC Soccer Team Owner
May 28, 2019 Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse
March 19, 2019 Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients
March 14, 2019 Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump Fraud
March 11, 2019 SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud
February 20, 2019 Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud
January 23, 2019 FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
December 07, 2018 Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
October 20, 2018 SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme
October 18, 2018 Andrew Mandell Barred for Refusing to Appear During Investigation
September 10, 2018 Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme
August 22, 2018 Merrill Lynch to Pay $8.9 Million to SEC for Failing to Disclose Conflict of Interest
August 21, 2018 SEC Bars BKS Advisors' Roger Denha for Fraudulent Cherry-Picking Trade Allocation Scheme
August 16, 2018 SEC Issues Ameriprise Financial Cease-and-Desist Order over Failure to Detect Misappropriation and Fraud
August 14, 2018 StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices
July 19, 2018 Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
December 15, 2022 Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
November 08, 2022 Stephen Romney Swensen, Crew Capital Group Named in $30 Million Ponzi Scheme Complaint
September 16, 2022 Advisor Mark Frankel of Partnervest in Southern California Charged with Fraud
July 14, 2022 McDermott Investment Advisors Loses to SEC in Court, Held Liable for Fraud Against UIT Clients
March 18, 2022 Former Wells Fargo & LPL Financial Broker Mario Rivero Arrested for Stealing $680,000 From Clients
January 27, 2022 Four United Development Funding Execs Guilty of Real Estate Fraud Scheme
January 24, 2022 Ivan Acevedo, Guilty of Fraud in Woodbridge Ponzi Scheme, Barred by SEC
December 30, 2021 Wedbush Securities to Pay $1.2 Million Over Unregistered Microcap Sales
November 22, 2021 Non-Traded Real Estate Investment Trusts: Recovering Damages when a Broker Unsuitably Recommends a REIT
July 23, 2020 James Daughtry Barred in 'Potentially Fraudulent and Unauthorized Transactions' Investigation
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 22, 2020 IFG Broker Martin David Batstone Barred for Fraud After Converting Client Funds
February 05, 2020 SoCal Ameriprise Broker Li Lin Hsu Sentenced for $8.2 Million Fraud
February 03, 2020 Royal Alliance Fined $400,000 Over $3.8 Million Theft from Customers
December 02, 2019 SEC Bars Securities America Broker Ronald J Roach over $1 Billion DC Solar Fraud and Ponzi Scheme
October 25, 2019 Environmental Lawyers' Warning of Conservation Easement Investments, Penalties for Abuse of Federal Tax Code
October 16, 2019 Broker John Charles Wyshak Ordered to Pay Nearly $1 Million Over Churning Allegations at Raymond James
September 17, 2019 JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
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.
November 03, 2018 LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud
June 08, 2018 $1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought
June 03, 2018 Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts
May 25, 2018 DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers
April 20, 2018 FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
March 28, 2018 SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme
February 27, 2018 SEC Charges Joseph Bronson's Strong Investment Management with Cherry Picking Fraud, Misrepresentation
February 05, 2018 SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
November 13, 2017 Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading
October 06, 2017 SEC Charges Tweed Investment Services and Owner Robert Tweed with Fraud in Athenian Fund Scheme
September 28, 2017 Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado
September 27, 2017 Ex-Royal Alliance, Next Financial, and Dominion Investment Rep Roger Hudspeth Pleads Guilty to $6 Million Fraud
September 08, 2017 William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss
August 27, 2017 SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme
July 25, 2017 FINRA Bars Timothy Ballard for Failing to Cooperate with Investigation
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
June 30, 2017 American Realty Capital Properties Ex-CFO Brian Block Guilty of Securities Fraud in Schorsch REIT Empire Crackdown; 50+ Firms Continued to Sell Related RCAP REIT After Financial Woes Became Public
June 21, 2017 FINRA Fines Scottsdale Capital Advisors $1.5 Million, Bars John Hurry, Suspends Timothy DiBlasi & D Michael Cruz in Illegal $1.7 Million Cayman Islands Microcap Sales Scheme
June 06, 2017 Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering
May 02, 2017 Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme
April 07, 2017 Tracy Turner Barred Over False and Misleading Oil-and-Gas Communications Probe
February 21, 2017 Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud
February 03, 2017 Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud
February 02, 2017 Lawson Financial, CEO Robert Lawson Barred for Fraudulent Municipal Bond Sales
January 05, 2017 2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity
December 02, 2016 MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
November 19, 2016 Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations
November 10, 2016 Gerald Cocuzzo Pleads Guilty to Securities Fraud in $131 Million Market Manipulation Scheme of ForceField Energy
October 27, 2016 Stuart Dickinson Barred, Restitution Ordered for Recommending Customers Purchase the ATM Alliance Ponzi Scheme
October 12, 2016 Donald Toomer Barred, Indicted for $30 Million Pump-And-Dump Penny Stock Fraud
September 21, 2016 Avenir Financial Group Sanctioned, CEO Michael Todd Clements Barred, Rep Karim Ibrahim Suspended for Fraud
August 06, 2016 Hank Werner Charged with Fraudulent Churning, Excessive Trading, Unsuitable VA Recommendation Against Elderly, Blind Widow
August 02, 2016 Ex-California Broker Daniel McKelvey Pleads Guilty in Fraudulent Shell Corporation Penny Stock Scheme
July 23, 2016 Ex-Wells Fargo Advisor Bradley Smegal Charged with Securities Fraud for Defrauding Clients Out of $5 Million, Making Ponzi Payments
July 21, 2016 Bernard McGee Barred for Fraudulent Annuity Sales, Lying About Surrendering Elderly Client's VA for Charitable Gift Annuity
July 20, 2016 Prudential Annuities Fined $950k for Failing to Prevent Theft of $1.3 Million From Elderly Client's VA
July 11, 2016 Update: Winston Turner Barred for Variable Annuity Fraud and/or Deception
June 29, 2016 Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
May 19, 2016 Thrivent's Miguel Hernandez Barred for Defrauding Elderly Church-Going Client
May 16, 2016 Crowdfunding Fraud is Possible, Cautions FINRA in News Release for New Startup Investment Opportunities
May 13, 2016 Robert Kerrigan Investigated for Undisclosed USA Barcelona Outside Business Facing Fraud Charge, Barred for Refusal to Cooperate
April 13, 2016 Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses
March 19, 2016 Risky, Unsuitable Investments in Poorly Performing Energy, Oil and Gas Ventures May Lead to FINRA Claims
March 09, 2016 Charged with Fraud, Ex-JPMorgan's Michael Oppenheim Sentenced to Five Years for Stealing $20 Million from Clients
March 02, 2016 7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers
March 02, 2016 Former MetLife & Prudential Broker Winston Turner Accused of Variable Annuity Fraud and/or Deception
February 26, 2016 Firms That Sold 'Ponzi' UDF REITs May Be On the Hook in Wake of FBI Raid, SEC Investigation
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.
January 26, 2016 Robert Richards Fined and Suspended Over Penny Stock Price Manipulation
January 13, 2016 FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms
January 06, 2016 2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
December 23, 2015 Merrill Lynch Settles 23 Complaints Against Barred Broker Thomas J. Buck for $4.1 Million
December 20, 2015 Fidelity Brokerage Services Ordered to Pay $1 Million for Supervisory Failures Related to Lisa Lewis' Elder Theft
December 04, 2015 SEC Bars of Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos for Churning
October 27, 2015 New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk
October 07, 2015 FINRA Expels Halcyon Cabot Partners and Bars CEO Michael Morris, CCO Ronald Heineman for Fraud, Fee Kickback Scheme
September 22, 2015 FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct
August 07, 2015 Caldwell International Securities Corp's Rasheed "Richard" Adams Barred for Churning, Excessive Trading
July 31, 2015 Ex-Billion-Dollar Merrill Lynch, RBC Broker Thomas J. Buck Barred for Overcharging and Misleading Clients, Fraud
July 17, 2015 Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors
July 15, 2015 FINRA Fines Ascendiant Capital Markets of Irvine, CA for Failure to Supervise, Inadequate Handling of Customer Complaint
July 03, 2015 SEC Charges Malcolm Segal with $15m Ponzi Scheme Selling Fake CDs, Unrealistic Interest Rate
June 24, 2015 SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts
June 13, 2015 SEC Charges Chad Wiegand, Akis Eracleous with Insider Training, Duo Agrees to Securities Ban
June 11, 2015 Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment
May 21, 2015 Bradley Claus Barred for Misrepresentation, Unauthorized Oil & Gas and Restaurant Investment Solicitations and Transactions
May 05, 2015 James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme
April 29, 2015 FINRA Orders Avenir Financial Group to Stop Selling to Elderly Customers, Bars Cesar Rodriguez for Fraud
April 21, 2015 Former JPMorgan Broker Michael Oppenheim Charged for Stealing $20 Million from Clients
March 27, 2015 Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton
March 13, 2015 With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz
February 09, 2015 Ronald Paul Rafaloff Barred for Converting Elderly Retiree's Funds for Personal Use
January 22, 2015 Ex-UBS Broker Donna Jessee Tucker Barred, Convicted of Fraud for Stealing from Elderly in Ponzi-like Scheme
January 16, 2015 Merrill Lynch Fined $175k for Failing to Timely Report Complaints of Defrauding Adviser Who Escaped to LPL
January 14, 2015 FINRA Bars George Carris, Expels Firm John Carris Investments for Fraud and Recklessness
January 13, 2015 David Rose Sentenced, Restitution Ordered for $2 Million Medical Investment Fraud
January 08, 2015 FINRA Files Complaint Against Bradley Claus, Alleging Improper Oil and Gas Sales, Falsely Tying a Security to Justin Timberlake
December 27, 2014 LPL, Commonwealth's Angela Marie Borchardt, and Kenneth William Schulz Barred for Customer Impersonation Scheme
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 09, 2014 Joseph Pappalardo Barred for Fraud, Soliciting Investments in Fake Company
December 06, 2014 David Lawrence Gabai Barred for Deceptive, Fraudulent and Manipulative Schemes
November 15, 2014 OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors
November 04, 2014 SEC and FINRA Issue Joint Penny Stock Scam Investment Alert
October 21, 2014 Jonathan Kohanof Barred for False Testimony in Insider Trading Investigation
September 26, 2014 2014's 12 Worst Financial Advisors List Features Ponzi Schemes, Scams and Frauds
September 22, 2014 SEC Charges Eight, Including de Maison, in Pump-and-Dump Penny Stock Fraud Scheme
September 19, 2014 FBI Arrests De Maison and Wilshinsky in Multi-Million Dollar Penny Stock Fraud
September 04, 2014 Former LPL Broker Blake Richards Ordered to Pay $2 Million for Defrauding Clients
July 31, 2014 Five Newport Coast Brokers Charged with Churning Resulting in $1 Million Losses
July 28, 2014 Jason O'Neal Lampier Barred for Fraudulent Misrepresentations Related to Oil and Gas Limited Partnerships
June 12, 2014 At IAA Financial, 84% of Brokers Came from Expelled Firms, 54% with Previous Disclosure Records
June 11, 2014 Broker Patricia Miller Facing Fraud Charges After Clients' Life Savings Go Missing
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 19, 2014 SEC Bars Convicted Fraudster Gurudeo Persaud for Investment Strategy Based on Astrology
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 16, 2014 SEC Charges San Diego's Total Wealth Management with Fraud in Kickbacks Scheme
April 06, 2014 Michelle Lee Kern Barred for Unlawful Conversion of $669,000 in Client Funds
March 22, 2014 Irvine Firm Accelerated Capital Group Fined for Misleading and Exaggerated Website Information
March 14, 2014 SEC Charges Brokers Michael Horowitz, Moshe Marc Cohen with $80 Million Variable Annuity Fraud
March 05, 2014 Former Merrill Lynch Broker Jane O'Brien Accused of 18-Year, $1.3 Million Ponzi Scheme
January 30, 2014 SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
January 28, 2014 JP Morgan's Stephanie Ann Becker Barred for Improper Conversion of Customer Funds
January 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
January 07, 2014 FINRA Tells Firms to Put Clients First with Conflicts of Interest Report
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
November 25, 2013 Gary C. Snisky Charged in $3.8-Million Fraud Scheme Targeting Elderly Investors
November 21, 2013 Ferry, Clinton and Martin Sentenced for Conspiracy, Mail and Wire Fraud in FBI Sting
November 20, 2013 Brian Matt Borakowski, George Alexander Kardaras Barred for Promissory Notes Ponzi Scheme Fraud
November 17, 2013 Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
November 03, 2013 Mass. Fines Merrill Lynch $500K for Failing to Stop Broker Misconduct
October 29, 2013 About Time: FINRA Files Complaint Alleging Unsuitable Recommendations, Falsification of Records After Beverly Hills Broker Bambi Holzer Suspended From Industry
October 24, 2013 Warning about Wirehouses: Excess Fees, Depressed Profits Harmful to Clients
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 05, 2013 Over 5,000 Brokers from Barred Firms, Many Accused of Fraud, Still Selling Securities
October 05, 2013 FINRA Charges John Carris Investments and CEO George Carris with Fraud and Stock Manipulation
October 02, 2013 Fraud in Modern America, a Nation at Risk-The Telltale Signs
September 20, 2013 Wade Harlow Bradley Fined & Suspended for Willful Disregard of Minimum Offering Condition, False Representations and Failure to Comply
September 18, 2013 Private Placement Offerings Require Research and Contemplation of Risk
September 13, 2013 Financial Fraud: An Appealing Scheme Whose Weakness is the Proactive Investor
September 11, 2013 Wendy Janeen Worcester Fined and Suspended for Multiple Due Diligence Failures
August 20, 2013 Jon Eric Guay Barred for False Representations, Improper Use and Conversion of $225,000 in Customer Funds
August 16, 2013 Christian Joel Brand Suspended for Soliciting $510,000 Investment from Elderly, Unsuitable Customer for Failed Project
August 15, 2013 Former Broker John Brady Guyette Convicted on 15 Securities Fraud Felony Counts
August 10, 2013 FINRA Accuses TNP's Tony Thompson of Defrauding Investors, Failing to Pay Out Promissory Notes
July 25, 2013 FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market
July 15, 2013 Arbitrators Order Wells Fargo to Pay $2.8 Million in Damages, Interest for Failure to Detect Fraud in Investor's Account
May 24, 2013 Former LPL Financial Adviser Blake Richards Charged in $2 Million Fraudulent Scheme
May 06, 2013 Roman J Sledziejowski Barred for Converting $4.8 Million in Fraudulent Scheme
May 05, 2013 Sean Francis Sheridan Barred for Recommending Only Funds that Yielded Higher Commissions
May 03, 2013 Bill Alvin Ahlswede Fined and Suspended for False Information, Failing to Disclose Complaint Alleging Churning and Fraud
April 23, 2013 Charles Chul Nam Barred, Ordered to Pay Restitution for Fraudulent REIT Scheme
April 19, 2013 Former Wound Management CEO Scott Haire Pleads Guilty to Securities Fraud
April 12, 2013 FINRA Files Order to Shut Down Success Trade Securities, Claiming Firm Scammed Investors
April 04, 2013 Thomas Charles Conradt Pleads Guilty to Securities Fraud & Conspiracy in IBM Case
March 24, 2013 Michael Mendenhall Barred for Borrowing from Elderly Customers, Untruthful Reply to FINRA Inquiry
March 24, 2013 LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
March 20, 2013 Jane Elizabeth O'Brien Barred for Unauthorized $3 Million Loans, Failure to Repay Clients, Alleged Securities Fraud
January 22, 2013 James Charles Allen Barred for Failure to Cooperate with Investigation into Material Misrepresentations and Omissions Regarding Oil and Gas Offerings
January 07, 2013 Philip Horn Guilty of Fraud: History and Risk of Horn's "Friendly" Scheme
December 29, 2012 Michael D. Montgomery Sentenced to 5 Years in Prison Following Wire Fraud Conviction
December 19, 2012 Aletheia CEO Peter J. Eichler Jr. Accused of Defrauding Investors, Resulting in $4.4 Million in Losses
December 06, 2012 Wedbush Securities Fined $375,000; Richard Anthony Lanni and Ronald Edward Vogel Fined and Suspended for Poor Supervisory Systems Related to Variable Annuities
November 26, 2012 David Lerner Associates to Pay $12 Million in Restitution in Connection with Inadequate Due Diligence, Excessive Markups
November 15, 2012 SEC Charges Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry with Defrauding Investors by Creating Fake Company, Identity
October 22, 2012 William Michael Jordan Fined and Suspended for Improper Recommendations and Lack of Due Diligence Related to Third Party's Slush Fund Operation
October 22, 2012 John Charles Guys Barred for Misappropriation of Funds, Creating Fake Premium Finance Agreements and Forging Customer Signatures
October 15, 2012 Attila Gyula Toth Accused of Soliciting an Investment and Misusing Customer Funds
October 10, 2012 FINRA Complaint Alleges Harry Ward Hunt Engaged in Excessive and Unsuitable Trading, Resulting in Commissions Paid to Broker
October 09, 2012 Complaint Issued Against John Cherry III Alleging Improper Use, Conversion of Customer Funds
September 20, 2012 SEC Charges Broker with Stealing to Pay Personal Expenses, Investors, Many from Santa Monica, Lose $600,000 in Ponzi Scheme
August 01, 2012 Newport Coast Securities, Inc. Fined $100,000 for Poor Anti-Money Laundering Procedures, Branch Office Manager who Served on Board of Pink Sheet Stock Traded Within the Firm
July 25, 2012 Slava Volman Pleads Guilty, Sent to Prison for Securities Fraud and Conspiracy
July 24, 2012 Alfred Chi Chen Barred for Unauthorized Trading, Unsuitable Recommendations
July 17, 2012 FINRA'S Office of Hearing Officers Issues Decision Barring Broker Alan Jay Davidofsky
July 13, 2012 Russell Philip Macke Suspended for Excessive Trading and Use of Margin
July 11, 2012 Thomas Brown Hammond Guilty of Theft, Ordered to Pay Over $500,000 in Restitution, Barred from Industry
June 27, 2012 Michael D. Montgomery Pleads Guilty to Wire Fraud, Client's Loss Over $1 Million
June 26, 2012 With New 401(k) Disclosure Requirement, Investors Should Review 401(k) Plan to Determine Fees Charged
June 24, 2012 Freedom Investors Corp. Fined & Brokers Suspended for Unsuitable Penny Stock Recommendations
June 20, 2012 John Brady Guyette Suspended & Fined for Fraudulent Misrepresentations in Recommending Investment Options
June 20, 2012 Daniel Edward Becerril II Barred from Securities Industry After Orchestrating Fraudulent Scheme
June 13, 2012 John Farahi of NewPoint Financial Pleads Guilty to $20+ Million Ponzi Scheme
June 11, 2012 Brookstone Securities Fined $1 Million, CEO Antony Turbeville Barred for Fraudulent Sales of CMOs to Elderly Clients
May 24, 2012 Timothy David Cochrane Permanently Barred for Fraudulent Investment Scheme
April 27, 2012 Discipline: Some Morgan Stanley Structured Product Purchases Failed to Comply with Internal Guidelines
April 27, 2012 Discipline: Stephen Wilson (Prudential, Wachovia) Barred for Unsuitable Recommendations and Unauthorized Trading
April 27, 2012 Discipline: Barclays Capital Fined $3 Million After Providing Inaccurate Information to Investors
April 27, 2012 Home Hazard: The Danger of Using a Mortgage to Finance Investments
April 27, 2012 Promissory Notes and Fraud
April 27, 2012 High Yield Investment Programs (HYIP): A Risky Venture
April 27, 2012 Getting to Know Reverse Convertibles

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