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Unauthorized Trading

July 06, 2023 Wedbush's Jonathan Way Barred During Investigation, Allegations of Unauthorized and Unsuitable Trading
April 26, 2023 Todd Anderson Cited for Unsuitable Recommendation That Senior Purchase $1 Million of Mutual Funds
April 28, 2021 Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements
June 15, 2020 Raymond James Broker Frederick Stow Charged with Fraud After $943,500 IRA Theft
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
March 26, 2019 Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study
February 20, 2019 Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud
January 17, 2019 Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents