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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/advertising/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
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	</url>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/aequitas/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/ameriprise/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/best-execution/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/blackstone/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/blue-owl/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/bonds/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/breakpoints/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/brokercheck/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/cfp/</loc>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/cherry-picking/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/choice-of-law/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/churning/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/citigroup/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/cold-calls/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/communications/</loc>
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	</url>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/compliance/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/confidentiality/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/coronavirus/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/cuso/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/derivatives/</loc>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/future-income-payments-fip-/</loc>
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	</url>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/fwg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/gold-and-precious-metals/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/goldman-sachs/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/gpb-capital-holdings/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/gwg-l-bonds/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/hedge-fund/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/insurance/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/investor-alert/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/life-settlements/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/mediation/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/nfa/</loc>
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	</url>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/null/</loc>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/selling-away/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/short-selling/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/sigma-financial/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/social-media/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/solicitation/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/spac/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/stifel-nicolaus-company/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/stockcross-financial/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/structured-products/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/suitability/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/switches/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/tax/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/td-ameritrade/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/tenants-in-common/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/text-messages/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/thrivent/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/tony-barouti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/transamerica-financial-advisors/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/ubs/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/udf/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/unauthorized-trading/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/unit-investment-trusts/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/valic-financial-advisors/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/variable-annuities/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/vfg-securities/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/vix/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/volatility/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/voya/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/waddell-reed/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/wash-transactions/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/wedbush-securities/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/wells-fargo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/western-international-securities/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/westpark-capital/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/whistleblower/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/willow-fund/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/wire-fraud/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/woodbridge-group/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/world-group-securities/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/xiv/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/categories/yes-and-cyes/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2026/</loc>
		<lastmod>2026-02-23T15:27:02-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2026/march/</loc>
		<lastmod>2026-03-11T19:40:13-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2026/march/conflict-of-interest-krolls-subsidiary-lends-mon/</loc>
		<lastmod>2026-03-11T19:40:13-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2026/february/</loc>
		<lastmod>2026-02-23T15:27:02-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2026/february/structured-cryptocurrency-products-a-gateway-dru/</loc>
		<lastmod>2026-02-24T13:20:57-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2026/february/inspired-healthcare-capital-files-for-bankruptcy/</loc>
		<lastmod>2026-02-23T15:27:03-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2026/january/</loc>
		<lastmod>2026-02-23T16:11:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2026/january/jonathon-webster-formerly-of-stifel-nicolaus-sus/</loc>
		<lastmod>2026-02-23T16:11:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/december/</loc>
		<lastmod>2025-12-19T23:14:35-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/december/morgan-stanleys-lindsay-yencho-accused-of-unsuit/</loc>
		<lastmod>2026-02-23T15:47:48-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/december/aretes-dennis-mcmillan-loses-unsuitability-expun/</loc>
		<lastmod>2025-12-19T23:40:19-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/december/kingswood-capital-partners-of-san-diego-fined-15/</loc>
		<lastmod>2025-12-19T23:31:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/december/wedbush-fined-150-000-for-margin-securities-supe/</loc>
		<lastmod>2025-12-19T23:18:34-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/december/lpl-financials-jacob-harper-cited-for-false-stat/</loc>
		<lastmod>2025-12-19T23:14:35-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/october/</loc>
		<lastmod>2025-11-07T19:47:11-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/october/risk-alarm-as-morgan-stanley-expands-cryptocurre/</loc>
		<lastmod>2025-11-07T19:50:00-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/october/centaurus-financial-anaheim-broker-william-burks/</loc>
		<lastmod>2025-11-07T19:47:11-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/september/</loc>
		<lastmod>2025-09-11T09:48:21-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/september/joseph-kelly-of-spartan-capital-securities-cited/</loc>
		<lastmod>2025-11-07T16:28:16-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/september/oppenheimer-broker-zachary-taylor-cited-for-unsu/</loc>
		<lastmod>2025-11-07T19:17:04-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/september/inspired-healthcare-capital-reit-suspends-distri/</loc>
		<lastmod>2025-09-21T22:30:00-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/september/easterly-rocmuni-high-income-municipal-bond-fund/</loc>
		<lastmod>2025-09-11T09:48:21-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/august/</loc>
		<lastmod>2025-08-23T22:56:34-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/august/what-went-wrong-with-gwg-l-bonds-/</loc>
		<lastmod>2025-08-29T17:36:08-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/august/lpl-financial-broker-brenton-ditto-cited-for-sel/</loc>
		<lastmod>2025-08-29T16:58:09-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/august/ali-chehab-after-selling-away-firing-by-merrill-/</loc>
		<lastmod>2025-08-26T23:21:14-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/august/jonathan-w-evans-associates-notches-arbitration-/</loc>
		<lastmod>2025-08-23T23:33:43-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/august/fidelity-broker-indicted-in-2-million-fraud-sche/</loc>
		<lastmod>2025-08-23T23:05:59-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/august/julie-darrah-stole-2-25-million-from-elderly-cli/</loc>
		<lastmod>2025-08-23T22:56:34-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/july/</loc>
		<lastmod>2025-07-28T17:02:28-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/july/phillip-anderson-cited-for-unsuitable-recommenda/</loc>
		<lastmod>2025-08-23T22:51:59-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/july/thomas-sharp-suspended-for-improper-borrowing-fr/</loc>
		<lastmod>2025-07-28T17:02:28-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/may/</loc>
		<lastmod>2025-07-28T16:58:50-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/may/jose-antonio-navarro-suspended-for-selling-away-/</loc>
		<lastmod>2025-07-28T16:58:19-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/april/</loc>
		<lastmod>2025-07-28T16:30:50-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/april/banyan-securities-censured-fined-for-money-laund/</loc>
		<lastmod>2025-07-28T16:49:26-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/april/justin-funakura-disciplined-for-unauthorized-cry/</loc>
		<lastmod>2025-07-28T16:30:50-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/march/</loc>
		<lastmod>2025-07-28T16:27:47-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/march/socal-broker-glen-ngo-barred-during-selling-away/</loc>
		<lastmod>2025-07-28T16:27:47-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/february/</loc>
		<lastmod>2025-02-13T05:21:23-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/february/bmo-capital-to-pay-40-million-for-mortgage-backe/</loc>
		<lastmod>2025-07-28T16:19:09-07:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/february/newbridge-securities-fined-for-margin-suitabilit/</loc>
		<lastmod>2025-02-13T05:21:23-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/january/fidelity-fined-for-supervisory-failures-after-em/</loc>
		<lastmod>2025-02-13T05:21:23-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2025/january/westpark-capital-broker-matthew-turner-cited-for/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/december/sec-fines-morgan-stanley-15-million-for-inadequa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/december/paychex-securities-michael-shoniker-suspended-fo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/december/jp-morgan-to-pay-151-million-over-major-disclosu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/november/structured-products-risk-intensifies-with-single/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/november/finra-disciplines-marc-barton-for-reusing-custom/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/november/luis-nin-of-ubs-unauthorized-trades-in-dead-clie/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/october/morgan-stanley-broker-robert-daly-barred-during-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/october/fbl-marketings-richard-connally-fined-for-forger/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/october/merrill-lynch-ordered-by-sec-to-pay-3-8-million-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/september/ifg-vp-richard-mireles-stewart-paxton-ginn-sanct/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/september/nationwide-planning-associates-cited-for-trying-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/september/stewart-ginn-agrees-to-settle-charges-of-churnin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/september/morgan-stanley-fined-2-million-over-improper-fir/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/august/drive-planning-ceo-russell-burkhalter-accused-of/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/august/sec-fines-ameriprise-lpl-financial-raymond-james/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/august/janney-montgomery-scott-fined-for-failing-to-rep/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/august/pfs-investments-fined-for-failing-to-enforce-out/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/august/western-international-securities-fined-for-reit-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/july/finra-fines-ubs-850-000-for-unapproved-annuities/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/july/finra-cites-fnbb-capital-markets-for-supervisory/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/july/colorado-bars-james-mcgehee-wealth-management-fo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/july/raymond-james-bryan-noonan-thomas-reyes-barred-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/june/fraudster-greg-lindberg-owner-of-northstar-bermu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/may/jeffries-broker-cited-for-using-whatsapp-to-cond/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/may/after-13-million-in-penalties-for-widespread-fai/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/may/finra-barred-former-independent-financial-group-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/april/stifel-nicolaus-failed-to-detect-unsuitable-reco/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/april/the-risk-of-rising-autocollable-structured-produ/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/march/stifel-financial-agrees-to-pay-for-failing-to-su/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/march/osaic-aka-sagepoint-financials-david-tall-barred/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/february/morgan-stanley-broker-stole-3-5-million-from-cli/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/february/anaheims-centaurus-financial-tops-slcg-list-of-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/february/investor-loses-300-000-in-unapproved-securities-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/february/jwe-investigating-peakstone-realty-trust-fka-gri/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/february/kbs-reit-in-newport-beach-teeters-on-brink-of-fa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/january/jp-morgans-darren-ting-sanctioned-for-unauthoriz/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/january/benchmark-investments-ex-broker-todd-anderson-ba/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/january/louis-goff-charged-with-fraud-for-forex-scheme-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/january/westpark-capital-broker-mitchell-morrison-sancti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/january/austin-duttons-unsuitable-reit-recommendations-h/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2024/january/lpl-financial-to-pay-6-million-for-supervisory-s/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/december/pursuing-claims-against-theresa-allen-of-rbc-cap/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/december/christopher-kennedy-of-western-international-sec/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/december/beverly-hills-broker-sara-qazi-sanctioned-for-un/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/december/stifel-nicolaus-broker-chuck-roberts-accused-of-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/november/wedbush-fined-350k-for-approving-fraudulent-wire/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/november/stephen-takeda-barred-during-customer-loans-inve/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/november/jilena-mok-of-edward-jones-sanctioned-for-unauth/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/november/high-risk-real-estate-firm-icap-enterprises-decl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/november/credit-suisse-ends-9-etns-including-delisted-vel/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/october/daniel-king-cited-for-unsuitable-recommendations/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/october/ifg-broker-stewart-ginn-accused-of-churning-elde/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/october/christopher-kennedy-churned-and-excessively-trad/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/october/western-internationals-megurditch-patatian-loses/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/september/best-interest-rule-violation-cited-in-unsuitable/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/september/stifel-nicolaus-facing-massive-controversy-24-5-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/august/lpl-financials-gregory-collins-cited-for-failing/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/july/westpark-capitals-nicholas-tocco-sanctioned-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/july/alleged-ponzi-scheme-broker-at-western-internati/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/july/wedbushs-jonathan-way-barred-during-investigatio/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/june/can-i-file-a-claim-for-northstar-financial-servi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/june/lpl-financial-ex-broker-patrick-thayer-charged-w/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/june/lpl-cuso-financial-broker-kale-kh-young-sanction/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/may/ameriprise-broker-cathie-joughin-barred-during-e/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/may/wells-fargo-socal-broker-mark-brewer-sanctioned-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/may/centaurus-financials-donnie-ingram-sanctioned-fo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/may/wells-fargos-tyler-rigsbee-sentenced-to-prison-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/april/todd-anderson-cited-for-unsuitable-recommendatio/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/april/securities-america-broker-michael-raineri-barred/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/april/rbc-ordered-to-pay-1-1-million-over-supervision-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/march/as-credit-suisse-shareholders-suffer-losses-at1-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/february/beverly-hills-broker-antoine-souma-barred-after-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/february/centaurus-financial-penalized-1-million-for-unsu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/february/sec-accuses-steve-susoeff-meritage-financial-gro/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/january/socal-broker-jay-eng-cited-for-impersonating-cus/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/january/western-international-securities-efrain-trujillo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2023/january/kimberly-nuessmann-sanctioned-for-impersonating-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/december/finra-bars-pfs-vice-president-desiderio-torrez-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/december/transamerica-broker-guatam-arora-arrested-in-sou/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/december/lpl-financial-fined-150k-admonished-for-failing-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/november/morgan-stanley-broker-david-lau-sanctioned-for-u/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/november/edward-turley-barred-after-settling-suitability-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/november/pasadena-based-western-international-securities-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/november/stephen-romney-swensen-crew-capital-group-named-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/november/finra-slams-anaheims-centaurus-financial-for-sup/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/october/finras-first-regulation-best-interest-awc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/october/previously-sanctioned-for-excessive-unsuitable-e/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/october/as-credit-suisse-nears-financial-jeopardy-potent/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/september/promedica-health-system-downgraded-2-billion-deb/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/september/advisor-mark-frankel-charged-with-fraud/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/september/sagepoint-financial-sanctioned-for-supervisory-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/august/kovack-securities-cited-for-failing-to-supervise/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/august/gwg-holdings-financing-package-approved-further-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/august/merrill-lynchs-conrad-branson-disciplined-for-se/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/august/broker-zachary-hansen-suspended-after-selling-aw/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/august/patrick-english-barred-during-unauthorized-use-o/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/august/fired-from-raymond-james-wedbush-hires-michael-p/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/august/camille-cordova-sanctioned-for-unsuitable-variab/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/august/philip-smith-suspended-by-finra-after-series-of-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/july/david-hixon-sanctioned-over-improper-money-borro/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/july/steven-kiyoto-hirata-barred-after-investigation-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/july/roselaine-securities-disciplined-for-failing-to-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/july/mcdermott-investment-advisors-loses-to-sec-in-co/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/july/gregory-andrews-sanctioned-for-undisclosed-outsi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/june/emerson-equity-predicts-further-adversity-as-who/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/june/western-international-securities-charged-with-vi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/june/megurditch-patatian-barred-for-8-million-of-unsu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/june/brokerage-firm-ifp-securities-that-sold-doomed-g/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/may/tarik-nehmatullah-barred-after-allegedly-accepti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/may/ex-morgan-stanley-broker-nikolay-zotenko-cited-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/may/lpl-financial-broker-bruce-amman-cited-for-trans/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/may/tcfg-broker-janie-garza-clark-barred-after-fraud/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/april/berthel-fisher-fined-100-000-for-options-trading/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/april/after-causing-investor-losses-bankrupt-gwg-holdi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/april/troubled-gwg-holdings-finally-files-for-bankrupt/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/april/edward-jones-broker-john-winslow-gig-harbor-wa-b/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/april/gwg-holdings-unit-seeks-waiver-of-default/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/april/gwg-sanctioned-by-nasdaq-as-more-brokerage-selle/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/april/gwg-holdings-losses-grow-in-california-with-cent/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/april/gwg-to-file-for-chapter-11-bankruptcy-gwg-l-bond/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/march/tcfg-wealth-broker-david-mcdonnell-barred-in-out/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/march/finra-fines-dempsey-lord-smith-bd4ria-for-privat/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/march/geneos-wealth-management-to-pay-400-000-for-impr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/march/michael-knittel-suspended-for-undisclosed-privat/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/march/former-wells-fargo-lpl-financial-broker-mario-ri/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/march/gregory-scott-hanshew-accused-of-disclosure-sale/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/march/investors-advised-to-avoid-gwgh-as-gwg-holdings-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/march/kirn-radio-personality-tony-barouti-barouti-fina/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/february/l-bond-losses-defining-gwg-holdings-unsuitably-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/february/backed-into-a-collapsing-corner-gwg-holdings-goe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/february/unsuitably-recommended-and-sold-to-investors-gwg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/february/purshe-kaplan-sterling-charged-over-unsuitable-l/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/february/emerson-equity-pushed-gwg-l-bonds-face-imminent-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/february/morgan-stanley-broker-darryl-cohen-broker-to-pro/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/february/raymond-james-under-investigation-for-northstar-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/february/gwg-holdings-pauses-l-bond-sales-as-large-losses/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/january/gwg-holdings-fails-to-make-13-6-million-in-payme/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/january/four-united-development-funding-execs-guilty-of-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/january/ivan-acevedo-guilty-of-fraud-in-woodbridge-ponzi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/january/triad-advisors-disciplined-for-failing-to-superv/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/january/royal-alliance-associates-sagepoint-financial-fs/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2022/january/rbc-capitals-unsuitable-concentration-in-high-yi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/december/fraudulent-offerings-unsuitable-recommendations-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/december/wedbush-securities-to-pay-1-2-million-over-unreg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/december/american-portfolios-financial-services-cited-aft/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/november/westpark-capital-sanctioned-for-misrepresentatio/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/november/jp-morgan-advisors-antoine-souma-suspended-for-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/november/non-traded-real-estate-investment-trusts-recover/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/november/investors-who-lost-money-in-northstar-financial-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/october/morgan-stanley-of-pasadenas-henry-chang-accused-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/october/morgan-stanleys-barry-garapedian-accused-of-unsu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/october/raymond-james-mark-boucher-criminally-charged-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/october/ex-vorpahl-wing-lpl-financial-broker-lee-victor-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/september/ex-lpl-financial-apw-capitals-paul-furusho-barre/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/september/sec-cites-9-brokerage-firms-over-12b-1-fee-viola/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/september/sec-complaint-cites-former-oppenheimer-rep-john-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/august/jason-seale-cited-for-discretionary-trading-with/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/august/pruco-securities-alon-zak-accused-of-creating-fa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/august/raymond-james-may-have-sold-unsuitable-northstar/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/august/suntrust-investment-services-rep-stephen-berroca/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/july/sec-finds-fiduciary-duty-and-suitability-failure/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/july/regulators-crack-down-on-record-keeping-and-brok/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/july/ubs-ordered-to-pay-8-million-for-unsuitable-comp/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/july/merrill-lynch-to-pay-11-7-million-over-unit-inve/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/june/sec-orders-crown-capital-securities-to-pay-1-6-m/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/june/farmers-financial-solutions-fined-for-failing-to/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/june/corey-white-barred-over-supervisory-red-flag-etp/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/may/calton-associates-sanctioned-over-volatile-excha/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/may/hung-sam-cited-for-borrowing-from-wells-fargo-cu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/may/wells-fargos-gary-wells-sanctioned-for-accepting/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/may/irs-warns-of-conservation-easement-tax-scams-as-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/may/unionbanc-investment-services-fined-100k-for-var/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/may/a-truly-international-operation-northstar-financ/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/april/antoine-nabih-souma-under-investigation-after-jp/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/april/sun-hyung-kim-barred-for-unauthorized-trading-fa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/april/finra-bars-john-lee-scott-of-lpl-financial-phoen/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/april/spac-buying-slows-as-regulators-propose-rule-cha/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/april/steven-schisler-accused-of-recommending-elderly-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/april/independent-financial-group-disciplined-over-con/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/april/james-hedges-cited-for-misrepresenting-failing-t/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/april/adviser-who-instructed-elderly-customers-to-sign/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/broker-dealers-due-diligence-duties-for-private-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/while-stating-we-routinely-have-legal-issues-cal/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/the-logan-group-securities-cited-for-multi-share/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/jp-morgan-broker-trevor-rahn-disciplined-for-una/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/growth-capital-services-fined-35-000-for-distrib/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/whitehall-parker-securities-robert-james-yuloo-c/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/advisor-group-firms-including-royal-alliance-inc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/finra-cites-jeffrey-stanga-for-failing-to-fully-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/unsuitably-risky-spacs-a-license-to-rip-investor/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/cetera-financial-group-cetera-advisors-paid-4-2-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/lpl-broker-rhett-douglas-bedwell-barred-during-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/march/megurditch-patatian-accused-of-unsuitable-reit-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/february/scott-hansen-sanctioned-for-unapproved-will-and-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/february/valic-financial-advisors-fined-350-000-for-varia/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/february/wells-fargos-scott-reed-barred-after-selling-3-5/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/february/andrew-perona-sanctioned-for-taking-clients-pers/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/february/finra-fines-triad-advisors-150-000-over-poor-mut/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/february/my-financial-girlfriend-ceo-lisa-brumm-sanctione/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/february/sec-charges-gpb-capital-holdings-ascendant-capit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/january/broker-san-nicolas-barred-over-recommendation-to/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/january/george-magladry-suspended-for-failing-to-disclos/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/january/cetera-firms-fined-1-million-for-supervisory-fai/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/january/merrill-lynch-broker-ryan-raskin-barred-after-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/january/transamerica-financial-advisors-to-pay-8-8-milli/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/january/lpl-financials-arthur-obermeier-cited-for-unauth/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/january/lpl-financial-fined-6-5-million-for-supervisory-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2021/january/worden-capital-management-ordered-to-pay-1-5-mil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/december/finra-charges-nicholas-baecker-with-forging-cust/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/december/californias-infinity-financial-services-fined-35/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/december/finra-charges-gregory-mccloskey-aka-gregory-meie/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/november/finra-cracks-down-on-unit-investment-trust-uit-s/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/november/finra-finds-variable-annuities-life-insurance-li/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/november/american-portfolios-financial-services-fined-for/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/november/sec-issues-securities-america-advisors-cease-and/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/november/sec-fines-royal-alliance-associates-over-volatil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/november/vonna-kay-husby-barred-during-investigation-into/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/november/lpl-financials-timothy-engelmann-sanctioned-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/october/david-walters-cited-for-outside-business-private/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/october/stephen-whittaker-cited-for-undisclosed-outside-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/october/kathleen-bott-barred-after-investigation-into-th/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/october/sec-fines-morgan-stanley-5-million-over-short-sa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/september/voya-broker-james-flynn-racks-up-suitability-com/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/september/jp-morgans-lauren-wing-cited-for-314-000-of-unau/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/september/stifel-nicolaus-broker-steven-rodemer-to-pay-385/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/september/chih-ming-huang-suspended-after-failing-to-discl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/september/wells-fargo-variable-annuity-supervision-violati/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/september/raymond-james-broker-mark-boucher-accused-of-2-2/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/september/lpl-financials-james-rapisarda-cited-for-private/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/august/sec-fines-firm-1-million-over-high-fee-mutual-fu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/august/finra-bars-terminated-brokers-lau-winters-for-fa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/august/wedbushs-david-hirons-accused-of-unauthorized-tr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/august/ex-first-allied-broker-kimberly-barensten-cited-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/august/oppenheimer-already-sanctioned-3-8-million-sees-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/july/fired-morgan-stanley-broker-stephen-sloane-under/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/july/james-daughtry-barred-in-potentially-fraudulent-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/july/merrill-lynch-charles-kenahan-under-nh-investiga/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/july/jp-morgans-adrienne-mak-barred-over-claims-she-u/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/july/elizabeth-morrell-barred-over-fraudulent-woodbri/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/barry-hartwyk-disciplined-for-unauthorized-use-o/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/micah-patterson-disciplined-for-future-income-pa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/e-mail-communication-failures-what-a-terminated-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/quinn-campbell-disciplined-for-removing-metlife-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/raymond-james-broker-frederick-stow-charged-with/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/dee-dee-brooks-barred-over-fraudulent-woodbridge/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/cfp-board-disciplines-californias-joel-davidman-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/lpls-donald-padilla-suspended-for-circumventing-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/june/stifel-nicolaus-to-pay-3-65-million-for-unsuitab/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/may/suntrust-investment-services-to-pay-634-000-over/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/may/brokerage-warning-issued-for-oil-linked-etps-inc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/may/ameriprise-broker-arthur-hoffman-barred-followin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/may/finra-lpl-financial-unsuitably-sold-elderly-clie/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/may/western-international-securities-failed-to-discl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/may/wells-fargos-bryan-benson-barred-after-investiga/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/lost-money-in-risky-oil-gas-investments-during-c/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/brokerages-stop-risk-laden-reit-sales-after-mass/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/integrity-brokerage-services-ceo-joshua-helmle-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/wedbush-broker-james-richards-cited-for-supervis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/cfp-board-suspends-californias-michael-altobell-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/jp-morgans-steven-lu-barred-for-pretending-to-be/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/clare-cail-suspended-for-altering-signed-account/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/accurate-record-keeping-supervision-vital-as-fin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/the-securities-based-loan-margin-call-is-exactly/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/caution-urged-as-ubs-hsbc-recommending-asian-str/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/april/corona-virus-plagues-risky-structured-products-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/exchange-traded-notes-at-heightened-risk-due-to-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/corona-virus-claims-ubs-etracs-etn-structured-pr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/excess-concentration-can-prove-disastrous-during/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/margin-trading-and-complex-leveraged-products-co/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/coronavirus-losses-stock-market-decline-expose-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/covid-19-update/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/finra-sanctions-scott-kozak-for-soliciting-1-2-m/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/axa-advisors-billy-zhang-cited-after-settling-mi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/march/ronald-hannes-barred-during-conversion-investiga/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/february/citing-widespread-failures-sec-fines-wells-fargo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/february/ifg-broker-martin-david-batstone-barred-for-frau/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/february/commonwealth-income-and-growth-fund-at-heart-of-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/february/wells-fargo-fined-for-failing-to-supervise-reps-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/february/socal-ameriprise-broker-li-lin-hsu-sentenced-for/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/february/finras-saction-of-mason-gann-highlights-risks-of/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/february/royal-alliance-fined-400-000-over-3-8-million-th/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/january/kerry-wills-sanctioned-for-borrowing-150k-accept/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/january/finra-bars-nylifes-kari-bracy-over-300-million-p/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/january/shlomo-strugano-former-first-allied-broker-barre/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/january/citigroup-yieldstreet-plans-risky-hedge-fund-pro/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/january/next-financial-group-fined-for-unsuitable-non-tr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/january/barred-broker-john-chrysadakis-alleged-conversio/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/january/finra-penalizes-oppenheimer-co-3-8-million-after/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2020/january/first-financial-equity-corporation-sanctioned-fo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/december/hicks-latest-broker-accused-of-unsuitable-high-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/december/francisco-valenzuela-cited-for-failing-to-disclo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/december/cuso-financial-services-gerald-coyne-latest-firm/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/december/eugene-gordon-cited-for-allowing-wifes-unauthori/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/december/sec-bars-securities-america-broker-ronald-j-roac/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/november/finra-bars-julie-ann-mineard-for-unauthorized-tr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/november/finra-bars-jun-justine-zhou-over-private-real-es/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/november/ceteras-christopher-kozak-suspended-for-undisclo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/november/sec-bars-james-booth-ex-lpl-financial-over-5-mil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/october/ami-forte-charles-lawrence-barred-for-churning-d/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/october/environmental-lawyers-warning-of-conservation-ea/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/october/jp-morgan-fined-1-1-million-for-failing-to-tell-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/october/financial-west-group-la-broker-daniel-maughan-ba/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/october/broker-john-charles-wyshak-ordered-to-pay-nearly/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/october/newbridge-fined-225-000-for-complex-securities-e/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/october/ifg-broker-martin-batstone-accused-of-fraud-conv/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/october/james-lamont-sanctioned-for-selling-1-5-million-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/september/margareta-childs-barred-following-fraud-complain/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/september/clay-g-erickson-sanctioned-in-5-million-worth-of/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/september/jp-morgan-fined-1-1-million-for-failing-to-timel/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/september/finra-cites-first-financial-equitys-compliance-o/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/september/ubs-yield-enhancement-strategy-harming-low-risk-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/august/ex-cetera-broker-merhoff-racking-up-complaints-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/august/finra-sanctions-socal-brokers-for-failing-to-coo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/august/crown-capital-cited-for-mutual-fund-supervision-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/august/ceteras-mengxuan-sharon-zhang-sanctioned-for-fal/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/august/karen-paek-barred-over-fake-variable-annuity-app/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/eric-nichols-suspended-for-settling-customer-com/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/nbc-securities-brian-dijulio-cited-for-unauthori/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/gpb-capital-sued-for-alleged-serious-financial-m/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/trading-in-a-dead-clients-account-nets-former-we/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/finra-disciplines-lpl-financials-eric-savell-ove/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/convicted-fraudster-daniel-vazquez-gets-prison-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/signators-jeffrey-lundstrom-cited-for-failing-to/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/raymond-james-compliance-officer-barred-for-fals/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/after-customers-suffer-losses-finra-cites-cetera/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/sec-complaint-names-lpl-financial-ex-broker-kerr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/july/dunkerley-named-in-43-million-dollar-fraud-schem/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/ceteras-george-merhoff-barred-on-35th-broker-dis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/finra-fines-edward-jones-for-underreporting-comp/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/profits-before-people-gpb-capital-paid-high-comm/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/wedbushs-latest-penalty-is-an-8-1-million-sec-fi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/patrick-foley-barred-after-investigation-into-ac/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/barred-san-diego-broker-harry-couglar-suspended-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/cryptocurrency-business-places-kyung-soo-kim-in-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/nina-jessee-latest-cetera-advisors-broker-barred/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/june/ron-ray-willoughby-cited-for-unsuitable-short-te/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/may/wedbush-hilltop-securities-broker-mark-augusta-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/may/jonathan-w-evans-associates-announces-filing-of-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/may/michael-mikey-tanha-cited-for-outside-business-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/may/kajo-movsesian-barred-after-review-into-conduct-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/may/jamie-bennett-sanctioned-for-failing-to-review-e/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/april/voya-financial-cited-for-mutual-fund-sales-charg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/april/sarah-banon-barred-for-failing-to-cooperate-with/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/april/john-ernst-sanctioned-for-ponzi-laden-woodbridge/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/april/frederick-holloway-barred-for-improper-variable-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/april/finra-identifies-5-high-price-issues-in-unsuitab/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/april/glendale-securities-sherman-oaks-brokers-sanctio/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/april/ed-matthes-barred-after-misappropriation-forged-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/ranking-the-20-large-cap-mutual-funds-and-etfs-w/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/jwe-investigating-brokers-who-sold-future-income/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/investors-seeking-to-recover-losses-from-unsuita/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/broker-bonuses-and-forgivable-loans-when-brokers/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/law-offices-of-jonathan-w-evans-associates-inves/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/laguna-niguels-craig-arsenault-barred-for-5-7-mi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/nac-affirms-amerprise-broker-jim-jinkook-seols-e/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/wedbush-pays-250k-to-settle-supervision-failure-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/sigma-financial-sanctioned-for-deficient-non-tra/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/march/sec-joins-finra-in-barring-arrested-wf-broker-jo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/february/john-spach-barred-for-trying-to-settle-complaint/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/february/disgraced-merrill-lynch-broker-thomas-buck-sente/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/february/michael-rappa-barred-for-2-7-million-worth-of-wo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/february/20-worst-bond-fund-returns-of-2018-feature-debt-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/february/thomas-e-burns-sanctioned-for-alt-investment-mis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/february/broker-dealers-still-may-be-held-liable-for-sell/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/february/finra-charges-raymond-james-compliance-officer-w/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/unauthorized-trading-suitability-and-customer-ab/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/lpl-financial-sues-barred-ex-broker-christopher-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/finras-2019-exam-priorities-feature-senior-prote/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/finras-bar-of-nms-capitals-mansourian-saliba-tab/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/nicholas-maddox-barred-for-failing-to-answer-fin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/donald-logan-fined-25k-for-unauthorized-discreti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/paul-wishingrad-sanctioned-for-unauthorized-use-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/gary-pevey-barred-over-unauthorized-note-sales-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/john-gregory-schmidt-arrested-accused-of-elder-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2019/january/2019-sec-exam-priorities-zero-in-on-high-fees-co/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/december/cetera-advisor-networks-fined-1-4-million-for-br/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/december/finra-and-sec-launch-investigation-of-gpb-capita/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/december/annemarie-thomas-suspended-for-facilitating-wire/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/december/emerging-markets-resources-top-worst-performing-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/december/finra-reports-problems-with-overconcentration-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/december/nicholas-radke-barred-during-investigation-into-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/december/sean-j-waters-barred-for-churning-senior-citizen/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/frank-dietrich-cited-for-selling-10-8-million-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/terminated-jp-morgan-broker-hector-villalta-sanc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/san-diego-financial-whiz-of-local-airwaves-kyle-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/robert-basile-arrested-barred-for-stealing-130-0/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/michael-scott-livermore-sanctioned-for-failing-t/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/morningstars-list-of-20-worst-performing-active-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/michael-heath-sanctioned-for-personal-e-mails-co/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/lpl-ex-broker-sonya-camarco-sentenced-to-20-year/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/november/david-ferwerda-barred-in-woodbridge-ponzi-scheme/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/intrepid-investment-bankers-president-w-michael-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/john-simoncic-barred-for-churning-retirement-acc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/sec-charges-barred-first-allied-broker-paul-ramp/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/andrew-mandell-barred-for-refusing-to-appear-dur/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/joshua-r-jones-fomerly-of-jp-morgan-sanctioned-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/charla-kabana-barred-during-investigation-into-v/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/former-morgan-stanley-broker-john-aaron-lenhert-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/daniel-kittner-suspended-for-700-unauthorized-di/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/october/ifgs-jon-pariser-barred-during-investigation-int/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/robert-torcivia-disciplined-over-beneficiary-des/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/finra-sanctions-ryan-logan-for-commission-sharin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/ung-leads-worst-performing-passive-funds-since-2/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/uncooperative-juergen-weber-unsuitable-unauthori/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/stephen-t-hurtuk-barred-during-unsuitable-recomm/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/hd-vest-investments-jerry-raines-donna-barnard-b/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/ladenburg-thalmann-financial-chairman-phillip-fr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/richard-hughes-suspended-for-coaxing-elderly-cli/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/september/lincoln-investment-planning-sanctioned-for-faili/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/ex-wells-fargo-broker-joseph-eschleman-sanctione/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/massive-woodbridge-fraud-grows-as-5-charged-with/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/merrill-lynch-to-pay-8-9-million-to-sec-for-fail/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/sec-bars-bks-advisors-roger-denha-for-fraudulent/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/sec-issues-ameriprise-financial-cease-and-desist/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/stockcross-financial-services-la-broker-peter-cu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/former-transamerica-broker-roy-gaytan-sanctioned/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/compliance-officer-claims-retaliation-in-firing-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/august/kenny-mezher-sanctioned-for-unapproved-crescent-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/national-planning-corp-investment-centers-of-ame/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/finra-fines-royal-alliance-fsc-sagepoint-financi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/midtown-partners-kevin-gillespie-charged-by-sec-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/financial-energy-sectors-feature-in-10-funds-wit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/michael-gilhooly-barred-for-refusal-to-appear-du/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/finra-bars-paul-soll-over-investigation-into-eld/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/cetera-financial-fined-200-000-for-failing-to-su/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/ifgs-dennis-contrestano-cited-for-unauthorized-t/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/after-sec-fraud-charge-finra-bars-robert-tweed-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/bradley-tennison-barred-after-recommending-300k-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/july/massachusetts-to-investigate-private-placement-s/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/brian-sung-hyun-sanctioned-for-undisclosed-marij/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/kyusun-kim-barred-for-unsuitable-recommendations/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/wells-fargo-advisors-pays-5-million-to-settle-se/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/online-investment-firm-betterment-fined-400-000-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/lpl-financials-bradley-gardner-barred-for-conver/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/complaint-cites-atiq-khan-for-failing-to-appear-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/stacy-cheney-jamison-barred-over-alleged-330-000/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/-1-2-billion-ponzi-at-woodbridge-group-of-compan/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/john-douglas-wade-barred-for-converting-100k-fro/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/losses-in-ljm-partners-funds-spotlight-suitabili/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/finra-bars-harold-couglar-for-20-years-of-unauth/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/arizona-indicts-howard-price-iii-for-stealing-47/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/june/leona-parsons-barred-after-investigation-into-im/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/james-edward-knee-barred-arrested-for-theft-from/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/finra-awards-clients-800-000-for-oppenheimers-ne/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/doj-charges-gary-basralian-with-fraud-suit-claim/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/sec-bars-lauramarie-colangelo-for-helping-tarek-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/gross-margin-debt-climbing-at-an-unsustainable-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/banks-and-brokers-recommending-risky-reverse-con/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/credit-suisse-ceo-warned-unsophisticated-investo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/sec-warned-of-volatility-linked-exchange-traded-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/wells-fargo-survey-finds-two-thirds-of-financial/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/volatility-virus-xiv-devastated-wall-street-and-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/revised-finra-sanction-guidelines-increase-penal/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/fifth-third-securities-to-pay-6-million-for-vari/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/troubled-lpl-financial-to-pay-26-million-for-sel/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/joseph-pratte-barred-after-outside-business-acti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/may/james-and-lorraine-conaway-sanctioned-for-real-e/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/ex-morgan-stanley-rep-arthur-robert-meunier-brei/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/wells-fargo-filing-admits-investigation-into-401/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/oho-decision-barring-richard-tabizon-for-altered/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/fbi-arrests-ex-ameriprise-broker-li-lin-hsu-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/merrill-lynch-broker-jonathan-belden-fined-suspe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/dallas-york-barred-for-refusing-to-cooperate-wit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/kevin-j-lee-barred-following-investigation-into-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/park-avenue-securities-fined-300-000-in-variable/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/brent-lott-fined-suspended-for-false-documentati/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/wells-fargo-wealth-management-investigated-for-u/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/laura-ortega-shean-barred-for-converting-124-000/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/april/in-wake-of-unsuitable-recommendations-action-fin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/sec-charges-wedbush-securities-with-failing-to-s/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/lisa-piazza-fined-suspended-for-failure-to-discl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/phillip-tibbetts-fined-suspended-for-accepting-u/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/sec-fines-la-based-electronic-transaction-cleari/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/michael-hurtgen-sanctioned-for-soliciting-raymon/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/david-barbers-unauthorized-trades-prompts-finra-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/saddled-with-settlements-kevin-yang-sanctioned-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/omer-ozeren-sanctioned-for-unauthorized-use-of-d/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/study-fidelity-increased-risk-for-6-million-reti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/doj-orders-review-of-wells-fargo-advisors-sales-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/march/merrill-lynch-fires-christopher-hibbard-after-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/sec-charges-joseph-bronsons-strong-investment-ma/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/darrell-rideaux-barred-during-investigation-into/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/credit-suisse-execs-had-secretaries-complete-tra/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/volatility-funds-take-a-dive-velocityshares-pros/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/regulator-charges-scottrade-with-fiduciary-duty-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/newbridge-could-face-philadelphia-public-employe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/sec-fines-deutsche-bank-securities-4-45-million-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/guilty-of-fraudulent-scheming-to-overcharge-clie/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/wedbush-fined-1-5-million-over-customer-protecti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/suitability-and-firms-duty-to-disclose-comes-int/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/finra-warned-of-volatility-linked-etns-before-fe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/car-dealership-alt-investments-in-turmoil-as-gpb/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/february/sec-adds-misappropriation-to-sports-advisor-ash-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/finra-to-flag-brokers-as-high-risk-due-to-associ/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/jp-morgans-farid-morim-barred-after-conversion-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/sec-charges-woodbridge-group-of-companies-in-mas/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/joseph-farah-barred-for-unsuitable-and-excessive/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/ameriprises-lorene-fairbanks-sanctioned-for-unau/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/charles-dixon-barred-after-termination-from-morg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/sandeep-varma-cited-for-misleading-estate-planni/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/finra-bars-matthew-kerby-after-allegations-he-co/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/richard-foster-sanctioned-for-unsuitable-ira-liq/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/linked-to-dawn-bennett-20-million-fraud-investig/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/punished-by-california-bureau-of-real-estate-gui/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/finras-2018-priorities-include-suitability-crypt/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/ameriprises-larry-boggs-barred-for-churning-elde/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/citigroup-sanctioned-11-5-million-for-displaying/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/john-william-bernard-sanctioned-for-unauthorized/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/raymond-james-fined-2-million-for-failing-to-sup/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/jp-morgan-fined-2-8-million-for-customer-protect/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/goldman-sachs-structured-products-reverse-conver/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2018/january/merrill-lynch-continues-choice-of-law-provisions/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/nasaa-identifies-notes-real-estate-ponzi-oil-and/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/ex-lpl-broker-leslie-koonce-barred-after-falsely/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/ex-wells-fargo-reps-charles-frieda-and-charles-l/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/finra-cites-ladenburg-thalmanns-investacorp-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/investors-capital-corporation-censured-after-8-y/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/woodbridge-group-of-companies-llc-under-sec-inve/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/next-financial-to-pay-750-000-in-latest-discipli/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/spencer-edwards-steven-quoy-suspended-for-issuin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/december/anthony-sica-sanctioned-for-recommending-unsuita/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/modestos-david-lee-reynolds-barred-during-misapp/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/brietburn-energy-partners-bbepq-drops-99-in-valu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/seadrill-limited-nyse-sdrl-runs-aground-with-deb/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/ex-morgan-stanley-rep-timothy-t-gibbons-suspende/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/linn-energy-mlp-nasdaq-symbol-line-was-risky-and/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/finra-files-complaint-against-farid-morim-from-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/jerry-guttman-barred-for-10-years-of-unauthorize/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/stockbroker-and-blue-line-brewery-owner-mark-gil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/patricia-peterson-sanctioned-for-unauthorized-di/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/accused-of-elder-fraud-in-trying-to-generate-com/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/lisa-j-lowi-barred-during-investigation-into-uns/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/finra-bars-victor-michel-for-failing-to-cooperat/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/questar-to-pay-800-000-for-overcharging-retireme/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/first-allied-securities-masood-azad-barred-after/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/november/former-lpl-broker-thomas-breslin-sanctioned-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/october/ex-ameriprise-brokers-jack-mcbride-and-stuart-pe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/october/mike-crowe-sanctioned-for-soliciting-investments/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/october/sandlapper-securities-accused-of-charging-8-mill/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/ex-lpl-rep-sonya-d-camarco-charged-with-securiti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/ex-royal-alliance-next-financial-and-dominion-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/morgan-stanley-ordered-to-pay-over-13-million-fo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/arbitration-panel-orders-barred-broker-li-lin-hs/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/sii-investments-charged-with-reit-supervisory-fa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/former-lpl-financial-san-diego-broker-marc-raven/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
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	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/mehran-ron-tazhibi-sanctioned-for-unsuitable-spe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/with-33rd-disclosure-since-2002-broker-tiffany-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/-massive-energy-broker-john-kai-barred-after-und/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/ex-jp-morgan-securities-rep-todd-jason-jones-san/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/sec-bars-jl-capital-managements-jeremy-licht-for/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/joseph-yanofsky-fined-10k-for-unauthorized-use-o/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/nancy-johnson-sanctioned-for-repeated-false-stat/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/william-glaser-barred-under-federal-investigatio/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/colorado-broker-bruce-page-barber-barred-in-outs/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/jeffrey-alan-smith-is-the-latest-ex-accelerated-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/september/finra-sanctions-elaine-lacerte-for-unsuitable-ui/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/facing-allegations-of-fraud-and-churning-frederi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/john-kostic-sanctioned-disgorgement-ordered-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/sec-freezes-ex-lpl-broker-sonya-d-camarcos-asset/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/oho-issues-decision-barring-jim-jinkook-seol-ove/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/jay-dee-jordan-barred-for-unsuitable-etf-trading/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/fsc-securities-corporation-fined-for-non-traditi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/buyer-beware-worst-performing-mutual-funds-etfs-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/howard-hull-fined-suspended-for-firms-supervisor/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/ex-lpl-financial-broker-stanley-scott-garrison-c/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/stephen-salm-sanctioned-for-sharing-customers-pe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/august/lpls-cooke-hood-laws-long-charged-in-variable-an/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/fictitious-letters-to-elderly-va-customer-earns-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/finra-bars-kim-dee-isaacson-for-defrauding-elder/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/pa-fines-austin-dutton-200-000-newbridge-499-000/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/finra-bars-timothy-ballard-for-failing-to-cooper/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/finra-nac-affirms-oho-bar-of-david-escarcega-for/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/axa-advisors-chad-hornaday-barred-for-selling-aw/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/larry-wolfe-fined-suspended-for-unauthorized-dis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/after-2-4-million-suit-alleging-elder-abuse-finr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/david-gott-sanctioned-by-finra-for-selling-inter/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/robert-tweed-named-in-false-misleading-private-p/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/stephen-s-eubanks-sentenced-to-prison-ordered-to/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/jaime-aguilar-suspended-for-unauthorized-loans-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/murray-monroe-sanctioned-for-failing-to-disclose/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/poorly-performing-mutual-funds-place-money-manag/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/july/richard-botkin-fined-suspended-for-245k-of-unaut/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/american-realty-capital-properties-ex-cfo-brian-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/mitchell-behm-sanctioned-for-unauthorized-180-00/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/sammy-legaspi-sanctioned-for-using-photocopying-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/former-lpl-financial-fresno-broker-todd-pilosi-p/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/complaint-charges-kyle-harrington-linda-milberge/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/finra-fines-scottsdale-capital-advisors-1-5-mill/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/jose-j-perez-sanctioned-for-impersonating-client/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/ex-ifg-and-centaurus-broker-calvin-moores-barred/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/christopher-m-hawn-fined-suspended-for-unauthori/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/kim-dee-isaacson-charged-with-fraudulent-misrepr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/finra-sanctions-james-cox-for-unsuitable-va-reco/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/ameriprise-irvine-s-jim-seol-barred-for-egregiou/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/ex-ameriprise-broker-mark-francis-speakman-plead/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/ex-red-ridge-securities-ceo-brent-hurt-sanctione/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/june/ex-morgan-stanley-rep-john-bocchino-barred-for-c/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/finra-investigating-joseph-farah-for-churning-su/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/michael-mahabir-barred-after-conversion-investig/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/wells-fargo-to-restrict-structured-products-muni/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/andrew-logullo-sanctioned-for-selling-away-undis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/curian-clearing-fined-for-failing-to-deliver-pro/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/inglewoods-jose-jimenez-sanctioned-for-allowing-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/walter-marino-charged-with-collecting-60k-commis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/finra-fines-summit-equities-325-000-for-variable/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/lpl-settles-over-non-traded-reit-misconduct-poss/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/ex-lpl-rep-thomas-andrews-charged-with-defraudin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/may/ex-raymond-james-broker-scott-sibley-barred-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/april/demitrios-hallas-charged-in-unsuitable-etf-inves/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/april/ex-merrill-lynch-broker-alec-rivera-pleads-guilt/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/april/john-olinghouse-sanctioned-for-falsifying-docume/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/april/hossein-amirraiahei-barred-over-unauthorized-dis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/april/stockcross-financial-services-of-beverly-hills-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/april/ex-lpl-broker-robert-tricarico-convicted-sentenc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/april/tracy-turner-barred-over-false-and-misleading-oi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/april/iain-reilly-fined-suspended-for-impersonating-cu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/march/cuso-financial-services-to-pay-172-5k-in-fines-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/march/first-financial-equity-cco-melissa-strouse-punis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/march/ex-mlb-pitcher-morgan-stanley-rep-patrick-combs-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/march/craig-dima-barred-for-15-million-of-unauthorized/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/vincent-payne-suspended-for-forgery-falsifying-c/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/excessive-reit-bdc-sales-charges-caused-by-confl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/red-river-securities-expelled-ceo-brian-hardwick/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/lpl-financial-fined-900-000-for-failing-to-send-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/morgan-stanley-to-pay-8-million-penalty-in-unsui/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/ex-financial-west-group-broker-kelly-clayton-alt/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/matthew-maczko-barred-for-churning-in-93-year-ol/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/dion-padilla-sanctioned-for-unauthorized-misrepr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/james-calder-sanctioned-for-unauthorized-outside/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/after-separation-from-jp-morgan-robert-stewart-s/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/ex-oppenheimer-marquis-financial-broker-stephen-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/february/lawson-financial-ceo-robert-lawson-barred-for-fr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/january/citigroup-to-pay-18-million-for-overbilling-clie/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/january/new-complex-buffer-annuity-drawing-regulators-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/january/citizens-securities-fined-300-000-for-failing-to/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/january/tommy-mai-sanctioned-for-forging-customer-signat/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/january/complaint-alleges-kelly-althars-unsuitable-and-e/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2017/january/2017-finra-priorities-high-risk-and-repeat-offen/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/former-acap-aml-compliance-officer-gary-hume-bar/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/wells-fargo-lpl-financial-among-12-firms-fined-1/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/finra-bars-ken-balser-after-investigation-into-p/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/kai-chen-fined-suspended-for-unauthorized-use-of/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/finra-sanctions-davood-kohan-for-improperly-sett/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/christopher-ariola-barred-ordered-to-pay-138k-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/credit-suisse-securities-fined-16-5-million-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/finras-recent-sanctions-underscore-compensation-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/ma-charges-lpl-financial-for-adviser-roger-zullo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/december/merrill-lynch-to-pay-7-million-in-fines-restitut/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/valic-financial-advisors-fined-1-75-million-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/jason-vanclef-vfg-securities-sanctioned-for-maki/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/oppenheimer-co-ordered-to-pay-3-4-million-in-fin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/john-hudnall-barred-for-selling-away-a-reit-inve/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/finra-bars-ex-lpl-broker-dominic-debruin-over-un/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/gerald-cocuzzo-pleads-guilty-to-securities-fraud/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/stanley-niekras-accused-of-misrepresentation-bil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/tracy-turners-35th-disclosure-is-complaint-alleg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/eight-firms-fined-6-2-million-for-variable-annui/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/november/unsuitable-and-risky-oil-and-gas-sales-and-plumm/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/finra-cracks-down-on-cross-selling-programs-in-w/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/stuart-dickinson-barred-restitution-ordered-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/anthony-lombardi-fined-and-suspended-for-failing/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/ex-lpl-broker-mark-tauzin-suspended-ordered-to-p/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/jwe-investigating-ponzi-like-scheme-involving-ud/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/gregory-bauer-barred-after-forgery-leads-to-400-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/jeffrey-howell-barred-for-inflating-values-sendi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/donald-toomer-barred-indicted-for-30-million-pum/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/cetera-financial-groups-investors-capital-corp-t/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/october/betty-lai-johnson-disciplined-for-impersonating-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/alejandra-valenzuela-barred-for-improper-convers/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/ubs-to-pay-15-million-over-unsuitable-reverse-co/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/avenir-financial-group-sanctioned-ceo-michael-to/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/george-zedan-barred-for-elder-abuse-and-conversi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/john-randall-gladden-disciplined-for-2-1-million/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/linda-dowd-disciplined-over-pre-signed-blank-dis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/finra-fines-ameriprise-financial-850k-over-rep-m/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/ex-lpl-broker-cheryl-kerber-fined-suspended-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/jonathan-w-evans-associates-is-investigating-cla/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/jerry-mccutchen-barred-in-connection-with-over-2/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/september/ameriprise-financial-failed-to-supervise-michael/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/christopher-ariola-charged-with-unsuitable-energ/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/sec-fines-13-firm-2-2-million-for-repeating-fals/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/ex-lpl-financial-crown-capital-broker-eric-kuche/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/-150-million-lawsuit-against-morgan-stanley-alle/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/morgan-stanley-to-pay-4-7-million-for-failure-to/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/newport-coast-securities-hit-with-100k-arbitrati/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/non-traded-reits-failing-in-face-of-industry-reg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/ciro-nick-cavazos-fined-suspended-for-unauthoriz/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/hank-werner-charged-with-fraudulent-churning-exc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/socal-broker-brian-egan-barred-for-failing-to-di/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/august/ex-california-broker-daniel-mckelvey-pleads-guil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/victor-michel-sanctioned-for-using-personal-e-ma/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/james-earl-mahan-barred-after-failing-to-coopera/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/finra-bars-retirement-income-planner-nathan-silv/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/ex-wells-fargo-advisor-bradley-smegal-charged-wi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/finra-considering-new-fund-for-unpaid-arbitratio/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/bernard-mcgee-barred-for-fraudulent-annuity-sale/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/prudential-annuities-fined-950k-for-failing-to-p/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/wedbush-drops-appeal-of-1-million-fine-for-egreg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/complaint-against-first-financial-equity-corp-al/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/nickolus-finley-waddell-reed-san-diego-cited-for/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/former-hsbc-mkm-partners-rep-luis-f-gil-sanction/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/update-winston-turner-barred-for-variable-annuit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/ex-merrill-lynch-broker-john-arnold-sanctioned-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/july/deutsche-bank-securities-fined-6-million-for-ina/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/wfg-advisors-fined-censured-100k-for-overchargin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/anthony-diaz-a-repeat-offending-rogue-broker-und/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/merrill-lynch-to-pay-415-million-in-sec-order-fo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/merrill-lynch-fined-5-million-for-failure-to-dis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/sec-charges-ash-narayan-the-ticket-reserve-with-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/kory-keath-named-in-complaint-over-elderly-clien/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/robert-myers-fined-20k-suspended-for-disputed-va/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/former-cco-allen-holeman-the-latest-oppenheimer-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/finra-fines-morgan-stanley-80-000-for-supervisor/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/shannon-rowland-barred-for-converting-funds-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/oppenheimer-co-sanctioned-2-9-million-for-unsuit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/daniel-miller-fined-suspended-for-undisclosed-ou/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/yahoo-finance-message-board-posting-re-ifan/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/e-trade-securities-censured-fined-900k-for-trade/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/june/finra-charges-jim-seol-with-unauthorized-wrci-eb/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/fog-equities-fined-60k-brokers-david-spack-scott/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/raymond-james-fined-17-million-for-systematic-an/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/thrivents-miguel-hernandez-barred-for-defrauding/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/crowdfunding-fraud-is-possible-cautions-finra-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/robert-kerrigan-investigated-for-undisclosed-usa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/finra-announces-metlife-va-information-for-harme/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/robert-turpin-barred-for-failing-to-cooperate-wi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/finra-opens-investigation-into-john-hudnall-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/david-miller-barred-ordered-to-pay-800k-in-resti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/may/metlife-securities-ordered-to-pay-record-high-25/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/paul-valencia-fined-suspended-for-discretionary-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/securities-america-fined-250k-broker-stuart-horo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/customers-accuse-lpl-financial-and-its-ex-broker/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/ryan-logan-fined-suspended-for-improperly-changi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/equinox-securities-stephen-oliveira-chris-palkow/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/greg-taylor-accused-of-unethical-conduct-involvi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/leonard-goldberg-barred-for-fraudulent-use-of-mu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/former-wedbush-associate-shiva-naby-fined-25k-su/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/daniel-liang-fined-suspended-for-falsifying-hsbc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/april/finra-files-complaint-against-brokerbank-allegin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/alfred-chan-fined-suspended-for-unauthorized-ind/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/coburn-meredith-fined-75k-ordered-to-pay-203k-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/facing-possible-discipline-scottsdale-capital-ad/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/wedbush-securities-fined-675-000-for-supervisory/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/risky-unsuitable-investments-in-poorly-performin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/ubs-preparing-sales-of-high-yield-coco-bonds-a-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/william-brown-fined-suspended-for-improper-discr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/charged-with-fraud-ex-jpmorgans-michael-oppenhei/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/finra-fines-rbc-capital-300k-for-failing-to-disc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/bahram-mirhashemi-barred-for-churning-excessive-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/david-escarcega-barred-for-fraudulent-statements/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/quest-capital-strategies-fined-for-mutual-fund-s/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/7-of-financial-advisers-industry-wide-cited-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/former-metlife-prudential-broker-winston-turner-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/march/goldman-sachs-places-luke-thornburn-on-leave-for/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/firms-that-sold-ponzi-udf-reits-may-be-on-the-ho/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/aequitas-capital-note-disaster-serves-as-reminde/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/finance-500-fined-censured-for-inadequate-superv/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/george-johnson-barred-christopher-wynne-suspende/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/fbi-raids-united-development-funding-in-investig/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/socal-broker-angelo-talebi-fined-suspended-for-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/finra-bars-brokers-timothy-stephen-dembski-and-w/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/finra-issues-investment-alert-for-bait-and-switc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/next-financial-group-key-investment-services-ste/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/february/oil-gas-emerging-market-funds-among-those-with-w/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/january/sales-practices-related-to-credit-suisse-velocit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/january/robert-richards-fined-and-suspended-over-penny-s/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/january/10-high-yield-bond-funds-posting-largest-negativ/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/january/former-lpl-broker-timothy-richard-yee-fined-susp/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/january/irvines-finance-500-fined-400k-multiple-brokers-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/january/finra-senior-hotline-warns-fraud-is-alive-and-we/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/january/2016-finra-priorities-letter-includes-brokerage-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2016/january/lpl-financial-ordered-to-pay-750k-for-improper-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/december/cfp-board-suspends-david-gabai-after-finra-bar-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/december/barclays-capital-ordered-to-pay-13-75-million-fo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/december/merrill-lynch-settles-23-complaints-against-barr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/december/cantor-fitzgerald-sanctioned-7-3-million-for-bil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/december/fidelity-brokerage-services-ordered-to-pay-1-mil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/december/j-p-morgan-ordered-to-pay-over-300-million-for-c/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/december/william-watson-fined-suspended-for-misleading-un/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/december/sec-bars-of-ralph-calabro-jason-konner-and-dimit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/november/joseph-holzhause-barred-for-false-and-misleading/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/november/scottrade-fined-2-6-million-for-failing-to-keep-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/november/metlife-finra-to-seek-significant-fine-for-varia/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/november/anthony-kerrigone-fined-10k-suspended-for-sellin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/finra-orders-5-firms-to-pay-18-million-in-restit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/new-finra-investor-alert-warns-of-all-or-nothing/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/james-christianson-fined-suspended-for-unauthori/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/voya-transamerica-investacorp-jp-turner-national/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/ubs-managed-high-yield-plus-fund-board-approves-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/finra-files-complaint-against-john-joseph-arnold/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/emily-s-pao-barred-for-failure-to-cooperate-with/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/finra-expels-halcyon-cabot-partners-and-bars-ceo/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/october/finra-fines-suspends-todd-shanholtzer-for-mishan/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/heidi-diana-carter-barred-after-investigation-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/finra-bars-willard-lee-golightly-for-supervisory/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/finra-bars-or-suspends-10-cockroach-brokers-at-g/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/dean-michael-yurica-fined-suspended-for-falsifyi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/finra-fines-suspends-tyler-boone-powell-for-impr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/marisa-nicole-pickar-suspended-for-falsifying-do/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/darlene-kay-bandy-barred-for-failure-to-cooperat/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/la-mesas-robert-earl-holaday-accused-of-forging-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/investor-alert-warns-of-pump-and-dump-scams-deli/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/september/former-b-b-graham-broker-russell-p-macke-suspend/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/cfp-board-suspends-broker-michael-t-ryan-of-sant/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/finra-bars-former-securities-america-broker-dere/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/charles-schwab-fined-2-million-for-significant-n/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/rush-to-sell-overwhelms-brokerages-shuts-online-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/glenn-moffitt-barred-over-allegations-he-convert/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/walter-chao-fined-and-suspended-for-selling-face/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/real-housewives-of-beverly-hills-stockcross-fina/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/gehrin-michael-ortiz-barred-after-investigation-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/caldwell-international-securities-corps-rasheed-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/wells-fargo-advisors-censured-fined-500-000-242k/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/michael-j-talin-barred-for-failure-to-cooperate-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/august/finra-fines-aegis-capital-950-000-for-unregister/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/ex-billion-dollar-merrill-lynch-rbc-broker-thoma/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/volatile-complex-exchange-traded-products-etfs-e/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/merill-lynch-fires-senior-vp-marc-d-lowe-of-the-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/finra-bars-john-anthony-waszolek-for-improperly-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/misleading-advertising-disguised-as-free-lunch-o/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/finra-fines-ascendiant-capital-markets-of-irvine/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/former-jp-morgan-chase-banker-daniel-colon-barre/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/jeffrey-david-daggett-fined-suspended-for-unsuit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/transacting-bonds-liquidity-risk-of-loss-target-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/securities-america-advisor-barry-armstrong-charg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/f-squared-files-for-bankruptcy-in-wake-of-35-mil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/finra-board-candidate-brian-kovack-says-hell-rep/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/sec-charges-malcolm-segal-with-15m-ponzi-scheme-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/july/misappropriation-nets-broker-roderick-yzaguirre-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/bruce-r-geiger-fined-suspended-for-falsifying-an/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/sec-to-fight-financial-elder-abuse-and-fraud-by-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/morgan-stanley-scottrade-fined-950-000-for-faili/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/wells-fargo-accused-of-deficient-due-diligence-o/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/heedo-joshua-han-barred-for-failure-to-cooperate/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/sec-charges-chad-wiegand-akis-eracleous-with-ins/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/michael-j-strasser-a-broker-with-22-disclosures-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/michael-a-demaria-fined-suspended-for-unauthoriz/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/june/william-g-stapleton-barred-after-investigation-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/jp-morgan-chase-citigroup-barclays-rbs-ubs-admit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/bradley-claus-barred-for-misrepresentation-unaut/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/finra-complaint-charges-scottsdale-capital-advis/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/morgan-stanley-fined-2-million-for-short-sale-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/sec-charges-radio-hosts-christopher-a-novinger-b/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/raymond-daniel-schmidt-barred-after-borrowing-2-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/finra-sanctions-lpl-financial-11-7-million-for-m/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/sec-investigating-jpmorgan-over-potentially-impr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/james-yiu-lee-sentenced-to-6-5-years-in-prison-o/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/may/larry-m-phillips-fined-suspended-restitution-ord/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/april/finra-orders-avenir-financial-group-to-stop-sell/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/april/cfp-board-censures-23-advisors-issues-revocation/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/april/finra-fines-rbc-1-million-orders-434-000-in-rest/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/april/former-jpmorgan-broker-michael-oppenheim-charged/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/april/commonwealth-capital-corp-ceo-kimberly-springste/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/april/under-finra-investigation-for-duping-elderly-inv/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/april/new-hampshire-regulator-seeks-3-6-million-from-l/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/h-beck-lasalle-st-securities-and-j-p-turner-comp/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/oppenheimer-co-to-pay-3-75-million-in-fines-rest/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/loreta-salinas-nelson-fined-suspended-for-servin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/artak-daldumyan-fined-suspended-for-unapproved-o/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/nicholas-c-kramer-barred-for-misappropriating-fu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/with-14-pending-customer-disputes-alleging-misre/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/finra-censures-and-fines-ubs-500-000-for-failing/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/finra-bars-broker-michael-korson-for-misusing-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/dalas-lee-gundersen-fined-suspended-ordered-to-d/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/march/finra-fines-suspends-former-murphy-durieu-cco-fr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/former-lpl-broker-james-rosebrough-fined-suspend/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/gregory-james-bolduc-fined-suspended-for-faking-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/oho-bars-sharon-h-goodale-after-allegations-of-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/michael-richard-crow-fined-and-suspended-for-una/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/foothill-securities-cco-stephen-shipp-fined-235k/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/bma-securities-compliance-officer-dudley-muth-fi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/former-compliance-officer-suing-cabot-lodge-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/ronald-paul-rafaloff-barred-for-converting-elder/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/finra-punishes-jp-morgans-gary-r-dennis-for-outs/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/paul-defilippis-fined-suspended-for-helping-move/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/william-r-kinyon-barred-for-misuse-of-elderly-cl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/february/shawn-michael-richardson-censured-and-fined-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/oppenheimer-to-pay-20-million-admit-guilt-for-pe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/finra-fines-suspends-bma-securities-president-bu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/ex-ubs-broker-donna-jessee-tucker-barred-convict/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/kevin-luby-fined-25k-suspended-for-disclosure-fa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/ubs-fined-record-12-million-plus-2-5m-in-disgorg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/merrill-lynch-fined-175k-for-failing-to-timely-r/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/finra-bars-george-carris-expels-firm-john-carris/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/david-rose-sentenced-restitution-ordered-for-2-m/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/wall-street-2s-anastasios-belesis-barred-restitu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/securities-based-lending-alt-funds-catch-finras-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/chase-bishop-casson-barred-for-failure-to-cooper/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/finra-files-complaint-against-bradley-claus-alle/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/fiduciary-duty-putting-customers-first-tops-finr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/pershing-llc-fined-3-million-for-supervisory-cus/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/jp-morgan-downgrades-falling-caterpillar-stock-o/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/high-yield-bonds-stocks-and-etfs-in-grave-jeopar/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/sagepoints-daryl-r-lemon-barred-for-margin-abuse/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2015/january/risks-and-rewards-abound-for-closed-end-funds/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/lpl-commonwealths-angela-marie-borchardt-and-ken/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/finra-charges-wedbush-peter-julijs-auzers-shiva-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/wells-fargo-advisors-former-advisor-jeffrey-c-mc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/wells-fargo-advisors-fined-1-5-million-for-anti-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/merrill-lynch-fined-1-9-million-ordered-to-pay-5/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/wedbush-ordered-to-pay-350-000-after-losing-finr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/finra-fines-10-firms-from-barclays-to-wells-farg/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/david-lawrence-gabai-barred-for-deceptive-fraudu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/jp-morgan-to-pay-485-000-in-damages-for-overly-c/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/tammara-lynne-collins-fined-suspended-for-improp/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/december/tony-albert-nessan-fined-suspended-for-improperl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/patrick-richard-harrison-barred-for-private-secu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/finra-fines-citigroup-15-million-for-supervisory/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/sec-fines-wedbush-2-4-million-for-market-access-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/rcs-capital-confirms-sec-finra-and-ma-state-regu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/nasaa-names-top-9-investor-threats-for-2015/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/ocs-robert-klein-other-brokers-with-history-of-d/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/fidelity-pershing-schwab-latest-firms-to-suspend/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/sally-samaris-barred-for-failure-to-cooperate-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/massachusetts-regulator-investigating-schorschs-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/kent-george-lehman-barred-for-improperly-borrowi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/cetera-financial-group-broker-dealer-network-sus/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/november/sec-and-finra-issue-joint-penny-stock-scam-inves/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/october/merrill-lynch-fined-6-million-for-short-sale-vio/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/october/at-lpl-financial-higher-q3-charges-for-regulator/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/october/jonathan-kohanof-barred-for-false-testimony-in-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/october/sec-charges-former-wells-fargo-compliance-office/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/october/thomas-david-sharp-fined-and-suspended-for-impro/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/october/travis-capson-arnab-sarkar-fined-and-suspended-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/october/jo-ellen-fisher-barred-sued-for-allegedly-steali/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/october/sws-charged-with-inadequate-supervision-of-va-tr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/september/sec-fines-wells-fargo-advisors-5-million-for-ina/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/september/sec-charges-eight-including-de-maison-in-pump-an/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/september/fbi-arrests-de-maison-and-wilshinsky-in-multi-mi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/september/bradley-thomas-badger-fined-and-suspended-for-un/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/september/finra-releases-frontier-funds-investment-alert/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/september/wells-fargo-advisors-warned-of-possible-action-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/september/former-lpl-broker-blake-richards-ordered-to-pay-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/august/citigroup-fined-1-85-million-ordered-to-pay-638-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/august/airbags-unsafe-at-any-speed/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/august/finra-charges-wedbush-securities-with-insufficie/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/august/ex-wells-fargo-broker-michael-james-frew-barred-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/august/tony-huang-formerly-of-ny-life-securities-llc-ba/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/august/former-lpl-financials-mehrdad-farhat-fined-suspe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/august/finra-reports-increase-in-online-phishing-identi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/july/sec-financial-exploitation-of-older-adults-is-an/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/july/james-william-murphy-guilty-of-fraud-barred-for-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/july/kent-michael-houston-fined-75k-suspended-for-con/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/july/finra-bars-steven-yi-for-failure-to-provide-info/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/june/former-lpl-financial-broker-joshua-allen-farahi-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/june/securities-and-exchange-commission-upholds-finra/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/june/at-iaa-financial-84-of-brokers-came-from-expelle/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/june/concentration-risk-the-implications-of-putting-a/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/june/finra-issues-investment-alert-targeting-high-yie/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/may/finra-cracking-down-on-abusive-unsuitable-automa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/may/disgraced-hsbc-rep-ann-maria-ferrao-barred-after/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/may/jp-morgans-kirk-eric-archibald-and-michael-linfe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/may/william-jeffrey-austin-fined-suspended-for-exerc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/may/morgan-stanley-fined-5-million-for-supervisory-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/may/finra-targeting-fixed-annuity-sales-risks-firm-p/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/may/popularity-of-liquifying-home-equity-cash-out-re/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/april/douglas-frank-cmelik-fined-suspended-for-inaccur/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/april/background-checks-for-brokers-newest-requirement/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/april/infinex-fined-for-unsuitable-recommendations-of-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/april/study-brokers-who-fail-basic-securities-exams-ha/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/april/magnolia-gaerlan-fined-suspended-for-effecting-u/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/april/steven-robert-tomlinson-fined-suspended-for-down/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/april/michelle-lee-kern-barred-for-unlawful-conversion/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/april/former-metlife-brokers-christopher-birli-patrick/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/march/arbitrator-james-h-frank-removed-from-finras-ros/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/march/lpl-financial-fined-950-000-for-concentration-vi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/march/merrill-lynch-associate-andres-enrique-rojas-bar/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/march/citigroup-global-markets-ordered-to-pay-1-1-mill/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/march/integral-financial-weiming-frank-ho-fined-for-re/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/march/running-with-scissors-sec-closely-monitoring-adv/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/march/former-merrill-lynch-broker-jane-obrien-accused-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/february/sutherland-review-finra-fines-decrease-27-action/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/february/berthel-fisher-co-financial-services-affiliate-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/february/former-wedbush-securities-rep-karen-ann-mendez-b/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/february/former-merrill-lynch-adviser-gary-h-lane-given-1/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/february/patrick-joseph-donohue-barred-for-prohibited-bus/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/february/jose-jesus-martinez-jr-barred-for-wrongful-conve/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/february/proposed-rules-change-requires-firms-to-issue-cl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/sec-issues-risk-alert-criticizing-advisors-handl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/jp-morgans-stephanie-ann-becker-barred-for-impro/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/sec-national-exam-programs-investment-adviser-co/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/sec-national-exam-program-issues-broker-dealers-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/edward-d-jones-fined-200k-52-000-in-restitution-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/four-risky-sometimes-dangerous-investments-to-av/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/finra-orders-stifel-nicolaus-company-century-sec/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/finra-to-firms-investment-by-seniors-subject-to-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/sec-seeks-admission-apologies-from-big-banks-tha/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/finra-tells-firms-to-put-clients-first-with-conf/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/finra-targets-frontier-funds-a-developing-market/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/finra-to-target-complex-investments-including-re/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2014/january/finra-warns-firms-against-blind-401-k-to-ira-fun/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/december/deutsche-bank-securities-fined-6-5-million-for-s/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/december/holiday-cheer-signals-year-end-red-flags-to-watc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/december/solicited-leveraged-etf-tickets-marked-as-unsoli/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/december/oppenheimer-fined-675-000-246-000-in-restitution/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/december/two-ex-jp-morgan-brokers-barred-for-300-000-thef/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/november/paul-david-arnold-barred-for-misappropriating-24/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/november/ferry-clinton-and-martin-sentenced-for-conspirac/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/november/veterans-beware-rogue-financial-advisor-pension-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/november/dangerous-words-sec-cautions-firms-to-stop-using/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/november/finra-volatile-interest-rates-are-next-major-thr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/november/finra-enhances-brokercheck-system-makes-advisers/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/november/meghan-e-kassel-fined-and-suspended-for-submitti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/november/mass-fines-merrill-lynch-500k-for-failing-to-sto/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/closed-end-fund-distributions-finra-investor-ale/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/warning-about-wirehouses-excess-fees-depressed-p/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/study-finra-grants-expungement-to-most-brokers-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/james-arnold-busch-accused-of-stealing-1-3-milli/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/nasaa-calls-out-new-scams-rotates-five-of-top-10/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/sec-small-violations-can-lead-to-strong-enforcem/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/558-increase-in-reverse-convertible-sales-at-ban/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/managed-futures-fund-fees-a-hidden-money-drain-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/finra-may-require-brokerage-firms-to-carry-arbit/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/over-5-000-brokers-from-barred-firms-many-accuse/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/fraud-in-modern-america-a-nation-at-risk-the-tel/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/october/high-yield-finra-cautions-investors-against-exce/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/september/jerry-dean-mcglothlin-barred-for-unauthorized-ou/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/september/decarla-shevon-mathis-fined-and-suspended-for-fr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/september/private-placement-offerings-require-research-and/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/september/financial-fraud-an-appealing-scheme-whose-weakne/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/september/jennifer-marie-burton-fined-and-suspended-for-fa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/morgan-stanley-fined-1-million-ordered-to-pay-18/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/finra-issues-investor-alert-over-marijuana-stock/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/jon-eric-guay-barred-for-false-representations-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/a-survey-of-reverse-convertible-risks-as-bank-of/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/christopher-michael-bones-david-shelton-brown-jr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/finra-alert-beware-cold-calls-from-brokerage-fir/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/sunset-financial-fined-200-000-plus-84-253-in-pa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/oppenheimer-fined-1-4-million-for-sale-of-unregi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/finra-arbitration-panel-orders-citigroup-to-pay-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/august/yield-enhanced-structured-products-may-harm-inve/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/new-jersey-fines-morgan-stanley-100-000-for-impr/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/sec-lifts-ban-on-hedge-fund-ads-increases-privat/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/suitability-recommendation-compliance-and-the-ri/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/adorean-boleancu-already-barred-from-finra-indic/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/finras-trace-program-to-increase-transparency-of/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/statetrust-investments-joseph-turnes-fined-1-mil/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/arbitrators-order-wells-fargo-to-pay-2-8-million/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/frank-john-tarazon-fined-suspended-for-improper-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/massachusetts-investigation-into-reits-firms-tar/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/atlas-firstrade-and-wtf-fined-900-000-for-anti-m/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/joseph-john-antosh-jr-barred-for-failure-to-coop/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/theresa-i-reyes-barred-for-engaging-a-customers-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/july/forrest-nolan-jackson-barred-for-selling-away-of/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/donald-wayne-hastings-barred-for-improperly-plac/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/sec-approves-finra-request-to-publish-detailed-d/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/arbitrator-indictment-spotlights-importance-of-c/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/randy-jason-schneider-barred-and-ordered-to-pay-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/advice-on-air-misleading-advertising-broker-misc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/sec-finra-joint-alert-beware-pump-and-dump-scams/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/finra-investor-alert-alternative-mutual-funds-ca/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/francis-martin-florey-barred-for-attempting-to-t/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/hugh-monroe-dyson-jr-censured-barred-and-ordered/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/finra-orders-wells-fargo-and-merrill-lynch-to-pa/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/june/sac-capital-stops-cooperating-with-government-in/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/andrew-lewis-pittman-barred-in-relation-to-elder/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/john-thomas-thornes-accused-of-stealing-4-2-mill/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/david-lloyd-barber-fined-and-suspended-for-impro/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/barbara-mary-bolk-fined-and-suspended-for-forgin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/former-lpl-financial-adviser-blake-richards-char/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/finra-firms-must-adhere-to-industry-rules-and-be/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/greg-john-campbell-barred-in-2-million-misapprop/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/sec-finra-selling-rights-to-pension-income-strea/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/may/bill-alvin-ahlswede-fined-and-suspended-for-fals/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/april/sean-placido-rodriguez-suspended-fined-and-order/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/april/jon-patrick-horvath-barred-following-fraudulent-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/april/martin-benjamin-feibish-barred-for-scheming-to-m/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/april/once-granted-permission-to-trade-with-discretion/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/april/finra-increasing-scrutiny-of-complex-products-ma/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/april/karl-edward-hahn-ordered-to-pay-11-million-to-cu/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/april/thomas-charles-conradt-pleads-guilty-to-securiti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/ubs-sponsored-willow-fund-drops-80-percent-after/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/james-martin-higgs-fined-suspended-for-selling-e/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/steven-joseph-corzan-barred-for-unapproved-priva/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/lpl-financial-firm-under-fire-and-on-radar-with-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/alberto-neira-barred-for-failure-to-disclose-out/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/jane-elizabeth-obrien-barred-for-unauthorized-3-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/su-chin-liu-barred-in-connection-with-investigat/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/richard-grant-cody-fined-suspended-for-unsuitabl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/adorean-boleancu-wells-fargo-ordered-to-pay-650-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/christian-a-molina-barred-for-unauthorized-withd/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/scott-bailey-nelson-suspended-and-fined-for-fixe/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/christopher-michael-frank-fined-suspended-for-un/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/march/apple-linked-reverse-convertibles-revcons-prove-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/february/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/february/broker-gregory-evan-goldstein-fails-to-respond-t/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/february/john-l-gathright-jr-barred-for-misappropriating-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/february/finra-investor-alert-bond-portfolios-could-be-at/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/february/richard-lee-ell-sanctioned-in-connection-with-va/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/february/massachusetts-regulators-order-lpl-financial-to-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/february/gabriel-arnaud-dupin-de-saint-cyr-fined-suspende/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/february/henry-john-dellaquila-fined-55-000-and-suspended/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/february/ubs-to-change-customers-objectives-reclassify-cl/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/marshall-douglas-nelson-suspended-for-unsuitable/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/peter-c-bishop-fined-suspended-for-allegedly-eff/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/after-appeal-nolan-wayne-moore-barred-and-fined-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/following-massachusetts-lawsuit-lpl-changes-etf-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/revenge-of-the-reverse-convertible-apple/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/finras-five-tips-for-financial-well-being/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/tam-thanh-tran-tom-tran-barred-for-failure-to-co/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/adam-spencer-deane-suspended-fined-25-000-for-im/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/california-appeals-court-demonstrates-strong-pre/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2013/january/philip-horn-guilty-of-fraud-history-and-risk-of-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/december/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/december/michael-d-montgomery-sentenced-to-5-years-in-pri/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/december/aletheia-ceo-peter-j-eichler-jr-accused-of-defra/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/december/frank-anthony-quartararo-for-over-unauthorized-w/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/december/massachusetts-securities-regulators-sue-lpl-fina/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/november/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/november/investors-beware-free-lunch-investment-seminars-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/november/christina-marie-curley-barred-following-allegati/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/november/david-lerner-associates-to-pay-12-million-in-res/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/november/hojin-kyung-barred-after-depositing-customer-che/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/october/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/october/john-charles-guys-barred-for-misappropriation-of/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/october/stuart-l-funke-suspended-for-soliciting-500-000-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/october/william-michael-jordan-fined-and-suspended-for-i/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/october/fidelity-brokerage-fined-375-000-for-misleading-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/october/united-planners-cco-douglas-hall-fined-for-lack-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/october/finra-complaint-alleges-harry-ward-hunt-engaged-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/october/james-scott-mckee-barred-for-misrepresentations-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/october/charles-duane-lewis-barred-after-felony-convicti/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/september/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/september/merrill-lynch-fined-500-000-for-failure-to-file-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/september/terminated-morgan-stanley-risk-officer-claims-re/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/september/finra-bars-thomas-p-casper-for-borrowing-money-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/september/finra-bars-matthew-leon-bradakis-for-misuse-of-c/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/september/finra-suspends-christopher-andrew-carra-for-post/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/august/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/august/finra-bars-broker-andrew-paul-arno-for-misusing-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/august/investor-alert-issued-non-traded-real-estate-inv/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/august/finra-bars-edward-allen-mantanona-and-orders-res/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/august/finra-fines-suspends-and-fines-rochelle-anne-lei/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/august/douglas-brent-cartwright-fined-suspended-for-sol/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/august/finra-orders-supension-of-edward-wedbush-and-fin/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/alfred-chi-chen-barred-for-unauthorized-trading-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/harold-e-wilson-barred-and-ordered-to-pay-10k-re/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/glenn-andrew-schwarzkopf-accused-of-converting-n/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/finras-office-of-hearing-officers-issues-decisio/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/russell-philip-macke-suspended-for-excessive-tra/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/thomas-brown-hammond-guilty-of-theft-ordered-to-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/finra-issues-investor-alert-on-exchange-traded-n/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/catheryne-june-downs-fined-and-suspended-for-fai/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/gary-lee-cousino-barred-for-refusing-to-cooperat/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/july/joel-william-carlson-barred-for-fraudulent-inves/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/investing-on-margin-carries-additional-risks-and/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/tsarina-lau-branyan-fined-suspended-for-unlicens/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/michael-d-montgomery-pleads-guilty-to-wire-fraud/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/all-about-brokercheck-finras-free-background-che/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/uvest-financial-fined-forced-to-pay-remediation-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/freedom-investors-corp-fined-brokers-suspended-f/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/merrill-lynch-fined-2-8-million-for-overcharging/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/john-brady-guyette-suspended-fined-for-fraudulen/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/michael-douglas-venable-barred-for-multiple-viol/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/daniel-edward-becerril-ii-barred-from-securities/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/merrill-lynch-fined-450-000-for-poor-supervisory/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/john-farahi-of-newpoint-financial-pleads-guilty-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/oppenheimer-to-pay-35-million-for-misleading-inv/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/june/stifel-nicolaus-company-fined-ordered-to-pay-res/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/may/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/may/arbitration-wells-fargo-ordered-to-buy-back-2-2-/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/may/arbitration-jpmorgan-chase-co-ordered-to-pay-cli/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/april/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/april/high-yield-investment-programs-hyip-a-risky-vent/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/april/getting-to-know-reverse-convertibles/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/april/discipline-some-morgan-stanley-structured-produc/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/april/discipline-barclays-capital-fined-3-million-afte/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
	<url>
		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/april/promissory-notes-and-fraud/</loc>
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		<loc>https://www.stocklaw.com/securities-fraud-blog/2012/april/home-hazard-the-danger-of-using-a-mortgage-to-fi/</loc>
		<lastmod>2025-02-05T13:44:05-08:00</lastmod>
	</url>
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		<lastmod>2025-01-23T13:03:16-08:00</lastmod>
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