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Securities Fraud Blogs from January, 2019

Most Recent Posts from January, 2019

Jan 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
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Jan 24, 2019 LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided
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Jan 23, 2019 FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
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Jan 22, 2019 FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final
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Jan 18, 2019 Nicholas Maddox Barred for Failing to Answer FINRA Questions
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Jan 17, 2019 Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents
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Jan 15, 2019 Paul Wishingrad Sanctioned for Unauthorized Use of Discretion in UBS Client Accounts
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Jan 11, 2019 Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme
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Jan 7, 2019 John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud
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