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Securities Fraud Blogs from February, 2020

Most Recent Posts from February, 2020

Feb 29, 2020 Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses
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Feb 22, 2020 IFG Broker Martin David Batstone Barred for Fraud After Converting Client Funds
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Feb 14, 2020 Commonwealth Income and Growth Fund at Heart of FINRA Bar for Misuse of Funds
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Feb 6, 2020 Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred
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Feb 5, 2020 SoCal Ameriprise Broker Li Lin Hsu Sentenced for $8.2 Million Fraud
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Feb 4, 2020 FINRA's Saction of Mason Gann Highlights Risks of Naked Puts Strategy
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Feb 3, 2020 Royal Alliance Fined $400,000 Over $3.8 Million Theft from Customers
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