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Securities Fraud Blogs from May, 2015

Most Recent Posts from May, 2015

May 25, 2015 JP Morgan Chase, Citigroup, Barclays, RBS, UBS Admit to Criminal Conduct, Fined $6 Billion; JPMorgan Issues Disclosure Notice
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May 21, 2015 Bradley Claus Barred for Misrepresentation, Unauthorized Oil & Gas and Restaurant Investment Solicitations and Transactions
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May 19, 2015 FINRA Complaint Charges Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi & D Michael Cruz with Illegal Microcap Sales of $1.7 Million
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May 15, 2015 Morgan Stanley Fined $2 Million for Short Sale & Interest Reporting Violations
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May 12, 2015 SEC Charges Radio Hosts Christopher A. Novinger, Brady J. Speers and Their Companies with Fraudulent Life Settlement Interest Sales, Making False Claims to Investors
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May 8, 2015 Raymond Daniel Schmidt Barred After Borrowing $2.25 Million from LPL Financial Clients
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May 6, 2015 FINRA Sanctions LPL Financial $11.7 Million for Major Supervisory Failures in ETF, REIT and VA Products
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May 6, 2015 SEC Investigating JPMorgan Over Potentially Improper Proprietary Fund Sales, Fiduciary Standard Violations
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May 5, 2015 James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme
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