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February 28, 2014 Sutherland Review: FINRA Fines Decrease 27%, Actions Reported Remains Flat
February 25, 2014 Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales
February 20, 2014 Former Wedbush Securities Rep Karen Ann Mendez Barred for Misappropriation of Funds, Falsified Records
February 18, 2014 Former Merrill Lynch Adviser Gary H. Lane Given 10 Year Prison Sentence for Defrauding Elderly Investors via Ponzi Scheme
February 17, 2014 Patrick Joseph Donohue Barred for Prohibited Business Activities with Elderly Clients, False Statements & Unauthorized Wire Transfers
February 14, 2014 Jose Jesus Martinez Jr. Barred for Wrongful Conversion of Elderly Customer Funds
February 12, 2014 CFP Advisors Steven Wilkinson, Noah Myers, Dan Glick & Robert Wheeling Stripped of CFP Certification for Misconduct
February 04, 2014 Proposed Rules Change Requires Firms to Issue Clearer Nontraded REIT Statements