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Securities Fraud Blogs from December, 2014

Most Recent Posts from December, 2014

Dec 29, 2014 To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports
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Dec 27, 2014 LPL, Commonwealth's Angela Marie Borchardt, and Kenneth William Schulz Barred for Customer Impersonation Scheme
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Dec 24, 2014 FINRA Charges Wedbush, Peter Julijs Auzers, Shiva Naby, and Samantha Arrieta McAfee in MSRB Supervisory Failure, Untimely Reporting of $13.5 Million-worth of Transactions
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Dec 23, 2014 Wells Fargo Advisors' former advisor, Jeffrey C. McClure, Barred for Taking $88,850 from Elderly Client
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Dec 22, 2014 Wells Fargo Advisors Fined $1.5 Million for Anti-Money Laundering Failures
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Dec 19, 2014 Merrill Lynch Fined $1.9 Million, Ordered to Pay $540,000 in Restitution for GM Fair Pricing and Supervisory Violations
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Dec 17, 2014 Wedbush Ordered to Pay $350,000+ After Losing FINRA Appeal
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Dec 16, 2014 Medical Research Analyst Michael Dinerman Fined and Suspended for Unauthorized Outside Business Activity
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Dec 13, 2014 FINRA Fines 10 Firms from Barclays to Wells Fargo $43.5 Million for Giving Favorable Research Coverage of Toys"R"Us IPO in Exchange for Banking Business
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