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Securities Fraud Blogs from February, 2014

Most Recent Posts from February, 2014

Feb 28, 2014 Sutherland Review: FINRA Fines Decrease 27%, Actions Reported Remains Flat
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Feb 25, 2014 Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales
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Feb 20, 2014 Former Wedbush Securities Rep Karen Ann Mendez Barred for Misappropriation of Funds, Falsified Records
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Feb 18, 2014 Former Merrill Lynch Adviser Gary H. Lane Given 10 Year Prison Sentence for Defrauding Elderly Investors via Ponzi Scheme
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Feb 17, 2014 Patrick Joseph Donohue Barred for Prohibited Business Activities with Elderly Clients, False Statements & Unauthorized Wire Transfers
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Feb 14, 2014 Jose Jesus Martinez Jr. Barred for Wrongful Conversion of Elderly Customer Funds
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Feb 12, 2014 CFP Advisors Steven Wilkinson, Noah Myers, Dan Glick & Robert Wheeling Stripped of CFP Certification for Misconduct
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Feb 4, 2014 Proposed Rules Change Requires Firms to Issue Clearer Nontraded REIT Statements
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Feb 1, 2014 Banorte-Ixe Securities Fined $475K for Anti-Money Laundering Program Failures
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