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Nov 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
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Jun 8, 2018 $1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought
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Jan 5, 2018 Raymond James Fined $2 Million for Failing to Supervise E-mail Communications
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Sep 18, 2017 "Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation
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Jul 9, 2015 Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors
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May 12, 2015 SEC Charges Radio Hosts Christopher A. Novinger, Brady J. Speers and Their Companies with Fraudulent Life Settlement Interest Sales, Making False Claims to Investors
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Feb 17, 2015 Foothill Securities, CCO Stephen Shipp Fined $235k for Inadequate Policies, Systems and Procedures
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Dec 31, 2013 Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact
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Jun 18, 2013 Advice on Air: Misleading Advertising, Broker Misconduct and the Radio
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