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Securities Fraud Blogs from July, 2015

Most Recent Posts from July, 2015

Jul 31, 2015 Ex-Billion-Dollar Merrill Lynch, RBC Broker Thomas J. Buck Barred for Overcharging and Misleading Clients, Fraud
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Jul 27, 2015 Volatile Complex Exchange Traded Products (ETFs, ETNs, etc.) May Be Unsuitable for Conservative Investors
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Jul 22, 2015 Merill Lynch Fires Senior VP Marc D Lowe of the $2.5 Billion Vilardo, Lowe & Associates Team for "Inappropriate Workplace Behavior"
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Jul 20, 2015 FINRA Bars John Anthony Waszolek for Improperly Appointing Himself Successor Trustee for Diminished Capacity Elder, Attempting to Inherit $1.8 Million
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Jul 17, 2015 Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors
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Jul 15, 2015 FINRA Fines Ascendiant Capital Markets of Irvine, CA for Failure to Supervise, Inadequate Handling of Customer Complaint
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Jul 14, 2015 Former JP Morgan Chase Banker Daniel Colon Barred for Taking Money from Customer
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Jul 13, 2015 Jeffrey David Daggett Fined & Suspended for Unsuitable ETN, Non-Traditional ETF Recommendations
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Jul 13, 2015 Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert
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