Investment Firms

Apr 28th, 2015
Published by Jeremy Hyndman at Apr 28th, 2015
Categories

Financial Advisor In Santa Barbara Falsifies Investors’ Signatures

Gregory Bolduc (“Bolduc”), a financial advisor formerly with UnionBanc Investment Services, has been fined and suspended for falsifying investor signatures. Bolduc photocopied the original signatures, and […]
Do you like it?0
0 Read more
Apr 27th, 2015
Published by Jeremy Hyndman at Apr 27th, 2015
Categories

Los Angeles based Wedbush Securities Covers Up Supervisory Failure By Falsifying Documents

Wedbush Securities (“Wedbush” or “the firm”), a brokerage firm located in Los Angeles, California, created and gave FINRA falsified documents regarding its review of the firm’s […]
Do you like it?0
0 Read more
Apr 23rd, 2015
Published by Jeremy Hyndman at Apr 23rd, 2015
Categories

Little Rock Broker-Dealer Sells Bonds with Outrageous Markups

R.M. Duncan Securities, Inc. (“DCAN” or the “Firm”) of Little Rock, Arkansas allegedly charged excessive markups on defaulted municipal bonds, generating additional income for the Firm […]
Do you like it?0
0 Read more
Apr 21st, 2015
Published by Jeremy Hyndman at Apr 21st, 2015
Categories

Atlanta Broker-Dealer Pays for Charging Customers Excessive Markups on Corporate Bonds

IFS Securities, Inc. (“IFS Securities” or the “firm”) of Atlanta, Georgia was censured and fined for selling corporate bonds to its customers with unreasonable markups given […]
Do you like it?0
0 Read more
Apr 20th, 2015
Published by Jeremy Hyndman at Apr 20th, 2015
Categories

J.W. Korth & Company’s Excessive Bond Markups Reduce Investor Returns

J.W. Korth & Company, Inc. (“J.W. Korth” or the “Firm”) of Lansing, Michigan allegedly charged excessive markups on municipal bond transactions, generating additional revenue for the […]
Do you like it?0
0 Read more
Apr 15th, 2015
Published by Jeremy Hyndman at Apr 15th, 2015
Categories

West Hills Financial Advisor Busted for False and Reckless Advertising

According to FINRA, Jonathan Jay Greenfield made reckless material misrepresentations in emails to customers regarding the features of GWG Holdings, Inc. (“GWG”) Renewable Secured Debentures (“Debentures”). […]
Do you like it?0
0 Read more
Apr 13th, 2015
Published by Jeremy Hyndman at Apr 13th, 2015
Categories

Calabasas Stockbroker Charged with Stock Manipulation

FINRA alleged that Scott Neal Glazer engaged in matched trading in an attempt to manipulate the price of National Technical Systems, Inc. (“NTSC”) stock and avoid […]
Do you like it?0
0 Read more
Apr 9th, 2015
Published by Jeremy Hyndman at Apr 9th, 2015
Categories

Visalia Stockbroker Transfers Half A Million Dollars Using Forged Signatures

Bruce Robert Geiger, a stockbroker at Thrivent Investment Management, Inc. (“Thrivent”), is accused of altering forms and forging signatures on life insurance related documents to process […]
Do you like it?0
0 Read more
Apr 7th, 2015
Published by Jeremy Hyndman at Apr 7th, 2015
Categories

Manteca Financial Advisor Barred From Securities Industry For Taking Money From Client’s Account

Randall A. Samson (“Mr. Samson”), a financial advisor with Ameriprise Financial Services, Inc. (“Ameriprise”), was barred from association with any FINRA member after transferring funds out […]
Do you like it?0
0 Read more
Apr 7th, 2015
Published by Jeremy Hyndman at Apr 7th, 2015
Categories

Norcross Stockbroker Suspended for Failing to Disclose Outside Business Ventures

Sunil Sachdeva of Norcross, Georgia was fined $10,000 and suspended for participating in outside business activities while willfully concealing the information from his employer. An employee […]
Do you like it?0
0 Read more
Prev page
12345678910111213141516
Next page