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September 30, 2016 Alejandra Valenzuela Barred for Improper Conversion at Morgan Stanley
September 29, 2016 UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
September 21, 2016 Avenir Financial Group Sanctioned, CEO Michael Todd Clements Barred, Rep Karim Ibrahim Suspended for Fraud
September 19, 2016 George Zedan Barred for Elder Abuse and Conversion of 87-Year-Old Customer's Funds, Escapes Prosecution when Victim Dies
September 17, 2016 John Randall Gladden Disciplined for $2.1 Million in Unauthorized Private Securities Transactions Away from the Firm
September 16, 2016 Linda Dowd Disciplined over Pre-Signed Blank Distribution Request Forms, Personal E-mails
September 14, 2016 FINRA Fines Ameriprise Financial $850k over Rep & Manager Weseloh's Conversion of $370,000 from Customers
September 13, 2016 Ex-LPL Broker Cheryl Kerber Fined & Suspended for False Statements About a Loan