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April 29, 2016 Paul Valencia Fined & Suspended for Discretionary Trading Without Customer or Firm Authorization
April 26, 2016 Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes
April 25, 2016 Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations
April 21, 2016 Ryan Logan Fined & Suspended for Improperly Changing Client Contact Information, Causing Inaccurate Database
April 20, 2016 Equinox Securities, Stephen Oliveira & Chris Palkowitsh Barred for Excessive Trading & Churning in Customer Accounts, IRAs
April 15, 2016 Greg Taylor Accused of Unethical Conduct Involving 75-Year-Old Widow with Dementia, False Statement to Firm
April 13, 2016 Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses
April 13, 2016 Former Wedbush Associate Shiva Naby Fined $25k & Suspended for Falsifying MSRB Documents