Common Misconduct

Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Spokane Financial Advisor Misappropriated Over $300,000 Of Customers’ Money

John C. Hanson, formerly a financial advisor at Northwestern Mutual, has been permanently barred from the securities industry. Mr. Hanson refused to comply with requests for […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Westover Stockbroker Barred From Associating With Broker-Dealers, But Is Still Active Investment Advisor

James McLaughlin was recently terminated from Securities America and barred by FINRA from associating with any of its members in any capacity. According to the Financial […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Alpharetta Stockbroker Fined For Failure To Report IRS Liens

Michael “Mike” Smith of Financial Telesis has been suspended for failure to disclose numerous federal tax liens filed against him. Stockbrokers are required to report several […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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Zhunrise Multilevel Marketing Plan is Ponzi Scheme, Says SEC

Zhunrise is a popular multilevel marketing company, taking in approximately 77,000 investors and $105 million since 2012 but, according to the SEC, it is also a […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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Martin Kelly Capital Management Defrauds Professional Athletes

The SEC filed fraud charges against investment adviser Bill Crafton of Martin Kelly Capital Management. Apparently, Mr. Crafton has provided advisory services for professional athletes in […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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SEC Accuses Prima Capital of Misappropriating Investor Funds

According to the Securities and Exchange Commission, Prima Capital Group and its owner, Efstratios “Elias” Argyropoulos, frittered away customer money on unauthorized day trading. Investors believed […]
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Dec 7th, 2014
Published by Jeremy Hyndman at Dec 7th, 2014
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FINRA alleges Buford Stockbroker Improperly Sold Risky, Private Securities

Kenneth Brownlee of AllState Financial Services allegedly convinced clients to invest in a private company without disclosing the sales to his employer, and while he received […]
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Dec 5th, 2014
Published by Jeremy Hyndman at Dec 5th, 2014
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Were client funds stolen at Credit Agricole Securities?

Michael Gregg Lieberman was barred from association with FINRA members due to his failure to cooperate in an investigation regarding client funds he allegedly stole while […]
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Dec 4th, 2014
Published by Jeremy Hyndman at Dec 4th, 2014
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Pleasant Hill Stockbroker Fined for Sending Bad Tweets

Jon Robert Hickman of Ladenburg Thalman & Co., Inc. was fined and suspended for Twitter posts about securities that were not fair and balanced, and also […]
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Dec 2nd, 2014
Published by Jeremy Hyndman at Dec 2nd, 2014
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San Diego Stockbroker Suspended for Unreported Involvement in Biotech Startup

Michael Dinerman of Piper Jaffray & Co. was fined and suspended from association with any FINRA member firm for failure to disclose outside business activities to […]
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