Theft

Jun 8th, 2015
Published by Jeremy Hyndman at Jun 8th, 2015
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Five Million Dollar Investment Scam Rips Off Investors In Maryland, Virginia, And California

Investors were defrauded by the employees of two separate companies, North Star Finance LLC and Capital Source Lending LLC, when the employees persuaded them to invest […]
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May 29th, 2015
Published by Jeremy Hyndman at May 29th, 2015
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People’s Securities Inc. Financial Advisor Steals $17,400 From Client

Tricia Denise Willis (“Willis”) in Vernon, Connecticut has been banned from the securities industry for committing fraud and conversion. She forged a customer’s signature to withdraw […]
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May 26th, 2015
Published by Jeremy Hyndman at May 26th, 2015
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Chase Financial Advisor Steals $24,014 From Investor

Louis James Deeley (“Deeley”) in Santa Rosa, California has been banned from the securities industry for stealing $24,014 from an investor. Deeley forged the customer’s signature […]
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May 20th, 2015
Published by Jeremy Hyndman at May 20th, 2015
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Morgan Stanley Financial Advisor Steals $20,000 From Investor

Patrick James Manriquez (“Manriquez”) from Beaumont, Texas has been banned from the securities industry for stealing $20,000 from an investor. He deceived the investor by making […]
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May 5th, 2015
Published by Jeremy Hyndman at May 5th, 2015
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FINRA Bans Grand Rapids Financial Advisor for Stealing Client Funds

Steven James Dunkelberg, Jr. a financial advisor with Fifth Third Securities, Inc. in Grand Rapids, Michigan, was barred from the securities industry for misappropriating client funds […]
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Mar 20th, 2015
Published by Jeremy Hyndman at Mar 20th, 2015
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Irvine Stockbroker Barred From Securities Industry For Improper Withdrawals From Investor’s Account

Peter Kim, a former stockbroker with Morgan Stanley, has been barred from the securities industry. According to FINRA, Kim refused to cooperate with an investigation into […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Montgomery Stockbroker Suspended Four Months For Taking Money From Elderly Client

James Gilbert, formerly of J.P. Morgan, was recently fined and suspended for borrowing money from a client. The new client was both elderly and infirm. FINRA […]
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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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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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Nov 8th, 2014
Published by Jeremy Hyndman at Nov 8th, 2014
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Were Customer Funds Stolen at Wells Fargo Advisors?

In Atlanta, Wells Fargo Advisors broker Timothy Landrum was recently barred from the securities industry for failure to respond to regulator inquiries about alleged theft of […]
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