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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
November 13, 2022 Pasadena-Based Western International Securities Fined $400k for Deficient REIT Supervision
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
June 16, 2022 Western International Securities Charged with Violating Regulation Best Interest by Recommending and Selling Unsuitable and Risky GWG L Bonds
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
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
January 31, 2022 GWG Holdings Fails to Make $13.6 Million in Payments to Investors as Investigations Ramp Up
December 30, 2021 Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
October 20, 2021 Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
August 10, 2021 Raymond James May Have Sold Unsuitable Northstar Financial Services (Bermuda) Products, Resulting in Losses Due to Northstar's Downfall
May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
January 15, 2021 Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges
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
September 03, 2019 UBS' Yield Enhancement Strategy Harming Low-Risk Investors Who Say No to YES
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
July 02, 2019 Dunkerley Named in $43 Million Dollar Fraud Scheme Tied to LAFC Soccer Team Owner
June 26, 2019 Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements
June 13, 2019 Nina Jessee Latest Cetera Advisors Broker Barred by FINRA
June 06, 2019 Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading
May 28, 2019 Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse
April 24, 2019 Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures
April 16, 2019 Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct
April 13, 2019 FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations
April 01, 2019 Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations
March 20, 2019 Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds
February 05, 2019 Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study
January 23, 2019 FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
December 10, 2018 FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
September 15, 2018 Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation
September 06, 2018 Lincoln Investment Planning Sanctioned for Failing to Apply Sales Charge Discounts to Eligible Retirement Customers
August 23, 2018 Massive Woodbridge Fraud Grows as 5 Charged With Selling $243 Million of Ponzi Product to 1,600 Investors
August 14, 2018 StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices
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
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
December 13, 2022 LPL Financial Fined $150k, Admonished for Failing to Supervise Broker Involved in Ponzi Scheme
November 03, 2022 FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
September 27, 2022 ProMedica Health System Downgraded, $2+ Billion Debt Spurring Review for Junk Status and Possible Default
August 30, 2022 Kovack Securities Cited for Failing to Supervise Short-Term Mutual Fund Trades, Suitability Issues
August 05, 2022 Philip Smith Suspended by FINRA After Series of Complaints, Unsuitable Variable Annuity Recommendation
August 05, 2022 Camille Cordova Sanctioned for Unsuitable Variable Annuity Recommendations
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 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
February 16, 2022 Emerson Equity-Pushed GWG L Bonds Face Imminent Default After Failing to Pay Investors
February 10, 2022 Morgan Stanley Broker Darryl Cohen, Broker to Pro Athletes, Barred After Millions in Claims
February 08, 2022 Raymond James Under Investigation for Northstar Financial Services (Bermuda) Sales
January 15, 2022 Triad Advisors Disciplined for Failing to Supervise LJM Mutual Fund Recommendations, Which Lost 80% In Value Before Liquidating
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
July 16, 2021 Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
June 24, 2021 Farmers Financial Solutions Fined for Failing to Supervise Variable Universal Life, Mutual Funds Business
May 11, 2021 UnionBanc Investment Services Fined $100k for Variable Annuity Supervision Woes
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 31, 2021 Broker-Dealer's Due Diligence Duties for Private Placements Require Research and Supervision
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 23, 2021 JP Morgan Broker Trevor Rahn Disciplined for Unauthorized Trading, Improper Discretion, and Mismarking Solicited Orders
March 22, 2021 Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures
March 02, 2021 Megurditch Patatian Accused of Unsuitable REIT Recommendations Funded Through VA Surrenders
February 22, 2021 Wells Fargo's Scott Reed Barred After Selling $3.5 Million of Web/Software Investments Away from Firm
February 10, 2021 My Financial Girlfriend CEO Lisa Brumm Sanctioned for Unsuitable Variable Annuity Recommendations
November 27, 2020 FINRA Cracks Down on Unit Investment Trust (UIT) Short-Term Trading Abuse at Stifel, Nicolaus & Company
November 25, 2020 FINRA Finds Variable Annuities, Life Insurance Liquidation Strategy Unsuitable, Cites ON Equity Sales Broker
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
June 11, 2020 Dee Dee Brooks Barred Over Fraudulent Woodbridge Ponzi Scheme, Future Income Payments Solicitations
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 01, 2020 Caution Urged as UBS, HSBC Recommending Asian Structured Products to Top Clients
March 31, 2020 Exchange-Traded Notes At Heightened Risk Due to COVID-19's Market Volatility
March 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall
March 25, 2020 Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
February 04, 2020 FINRA's Saction of Mason Gann Highlights Risks of Naked Puts Strategy
January 15, 2020 NEXT Financial Group Fined for Unsuitable Non-Traded REIT Sales
December 31, 2019 Hicks Latest Broker Accused of Unsuitable High-Risk REIT and BDC Sales to Senior Citizen Investors
December 21, 2019 Francisco Valenzuela Cited for Failing to Disclose Lien
December 18, 2019 CUSO Financial Services' Gerald Coyne Latest Firm Rep Sanctioned After VA Investigation
October 15, 2019 Newbridge Fined $225,000 for Complex Securities, ETF Supervision Failures
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
August 21, 2019 FINRA Sanctions SoCal Brokers for Failing to Cooperate with Investigations
July 30, 2019 NBC Securities' Brian DiJulio Cited for Unauthorized Short-Term Discretionary Trades
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 12, 2018 Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation
June 11, 2018 Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients
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 09, 2018 Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures
April 27, 2018 Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations
April 26, 2018 OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final
April 20, 2018 FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
April 18, 2018 Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security
April 13, 2018 Park Avenue Securities Fined $300,000 in Variable Annuities Supervision Investigation
April 11, 2018 Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi
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
February 06, 2018 Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds
January 25, 2018 Ameriprise's Lorene Fairbanks Sanctioned for Unauthorized Loan from Customer, Violative Text Messages
January 10, 2018 Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives
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 13, 2017 Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading
November 10, 2017 Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints
October 16, 2017 Wells Fargo Ordered to Pay Restitution of $3.4 Million for Unsuitable Volatility-Linked Exchange-Traded Products
October 11, 2017 Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades
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 25, 2017 Morgan Stanley Ordered to Pay Over $13 Million for Unit Investment Trust (UIT) Supervisory Failures
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
September 15, 2017 Ex-JP Morgan Securities Rep Todd Jason Jones Sanctioned for Unauthorized Trading in Complex ETN
August 25, 2017 OHO Issues Decision Barring Jim Jinkook Seol over Undisclosed EB-5 Business
August 21, 2017 Jay Dee Jordan Barred for Unsuitable ETF Trading Resulting in $8 Million Loss, Settling Away
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 03, 2017 Richard Botkin Fined & Suspended for $245k of Unauthorized Movie-Related Investments
June 06, 2017 Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering
May 31, 2017 FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations
May 15, 2017 Inglewood's Jose Jimenez Sanctioned for Allowing Unlicensed Son to Conduct Securities Business
April 13, 2017 Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud
March 29, 2017 CUSO Financial Services to Pay $172.5k in Fines and Restitution for Mathew Hartshorn's Unsuitable UIT Sales
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 10, 2017 Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts
January 05, 2017 2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity
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
December 01, 2016 Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts
November 22, 2016 Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments
November 16, 2016 John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer
November 10, 2016 Gerald Cocuzzo Pleads Guilty to Securities Fraud in $131 Million Market Manipulation Scheme of ForceField Energy
November 02, 2016 Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
September 17, 2016 John Randall Gladden Disciplined for $2.1 Million in Unauthorized Private Securities Transactions Away from the Firm
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 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
July 29, 2016 Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm
July 28, 2016 James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment
June 29, 2016 Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
April 25, 2016 Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations
March 11, 2016 William Brown Fined & Suspended for Improper Discretionary Trading Without Authorization
March 02, 2016 Former MetLife & Prudential Broker Winston Turner Accused of Variable Annuity Fraud and/or Deception
February 21, 2016 Finance 500 Fined & Censured for Inadequate Supervision, Misleading Ads
February 19, 2016 George Johnson Barred, Christopher Wynne Suspended for Market Manipulation Scheme
January 13, 2016 FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms
December 29, 2015 Barclays Capital Ordered to Pay $13.75 Million for Mutual Fund Suitability Violations
September 22, 2015 FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct
July 17, 2015 Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors
June 24, 2015 SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts
May 06, 2015 FINRA Sanctions LPL Financial $11.7 Million for Major Supervisory Failures in ETF, REIT and VA Products
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
December 09, 2014 Joseph Pappalardo Barred for Fraud, Soliciting Investments in Fake Company
December 02, 2014 Tony Albert Nessan Fined & Suspended for Improperly Marking Recommended Sales as Unsolicited
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
October 15, 2014 Thomas David Sharp Fined and Suspended for Improper REIT E-mail Solicitations
August 09, 2014 Tony Huang, formerly of NY Life Securities, LLC, Barred for Falsifying Life Insurance Applications
June 12, 2014 At IAA Financial, 84% of Brokers Came from Expelled Firms, 54% with Previous Disclosure Records
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 07, 2014 Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales
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
January 30, 2014 SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
January 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
January 03, 2014 FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
December 24, 2013 Gary J. Chackman Barred for Unsuitable Non-traded REIT Transactions
November 25, 2013 Gary C. Snisky Charged in $3.8-Million Fraud Scheme Targeting Elderly Investors
November 17, 2013 Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
October 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
September 18, 2013 Private Placement Offerings Require Research and Contemplation of Risk
July 11, 2013 Massachusetts Investigation into REITs: Firms Targeting Seniors for High-Risk Products
March 24, 2013 LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
March 20, 2013 Gary Reed Feldman Fined &Suspended for Improperly Soliciting Investments

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