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Securities Fraud Blogs from 2012

Most Recent Posts from 2012

Dec 30, 2012 Take Charge Financial, Inc., Joan Anne Perry Expelled & Barred for Unauthorized Transfers, Failure to Report Complaints, Inappropriate Borrowing of Customer Funds
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Dec 29, 2012 Michael D. Montgomery Sentenced to 5 Years in Prison Following Wire Fraud Conviction
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Dec 28, 2012 Matthew Donald Newman Fined & Suspended in Connection with Altered Form Submissions
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Dec 28, 2012 Paul Ellsworth McIntosh Barred for Unauthorized Trading Resulting in $40,000 in Customer Losses
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Dec 20, 2012 Financial West Investment Group Censured & Fined for Inadequate Diligence, Failure to Execute Bond Transactions at Reasonable Prices
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Dec 20, 2012 Daniel Leland Chiddister Fined & Suspended for Impersonating Potential Customers
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Dec 19, 2012 Aletheia CEO Peter J. Eichler Jr. Accused of Defrauding Investors, Resulting in $4.4 Million in Losses
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Dec 18, 2012 Frank Anthony Quartararo for Over Unauthorized Withdrawals from Customer Accounts Totaling Over $775,000
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Dec 15, 2012 Massachusetts Securities Regulators Sue LPL Financial over Nontraded REIT Sales
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