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Securities Fraud Blogs from July, 2016

Most Recent Posts from July, 2016

Jul 28, 2016 Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm
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Jul 28, 2016 James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment
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Jul 27, 2016 FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation
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Jul 23, 2016 Ex-Wells Fargo Advisor Bradley Smegal Charged with Securities Fraud for Defrauding Clients Out of $5 Million, Making Ponzi Payments
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Jul 22, 2016 FINRA Considering New Fund for Unpaid Arbitration Awards
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Jul 21, 2016 Bernard McGee Barred for Fraudulent Annuity Sales, Lying About Surrendering Elderly Client's VA for Charitable Gift Annuity
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Jul 20, 2016 Prudential Annuities Fined $950k for Failing to Prevent Theft of $1.3 Million From Elderly Client's VA
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Jul 17, 2016 Wedbush Drops Appeal of $1 Million Fine for "Egregious" and "Willful" Blue Sheet Failures
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Jul 16, 2016 Complaint Against First Financial Equity Corp Alleges Supervisory Failures, Excessive Commissions
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