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Securities Fraud Blogs from December, 2013

Most Recent Posts from December, 2013

Dec 31, 2013 Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact
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Dec 30, 2013 Bambi Holzer Barred for Unsuitable Provident Royalties Sales, Failure to Disclose and Submission of False Information
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Dec 24, 2013 Gary J. Chackman Barred for Unsuitable Non-traded REIT Transactions
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Dec 21, 2013 Deutsche Bank Securities Fined $6.5 Million for Serious Deficiencies in Lending Program
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Dec 18, 2013 Holiday Cheer Signals Year-End Red Flags To Watch
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Dec 18, 2013 Solicited Leveraged ETF Tickets Marked as Unsolicited is Risky Business
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Dec 16, 2013 Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages
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Dec 11, 2013 Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000
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Dec 9, 2013 JP Turner Ordered to Pay Over $700,000 in Restitution for Unsuitable Complex ETF Sales, Excessive Switching
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