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August 27, 2009
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Blog, Securities Fraud
Effective September 14, 2009, FINRA will begin expediting the administration of cases that solely involve a brokerage firm’s claim than an associated person (broker or financial advisor) failed to pay money owed on a promissory note. Under the new procedures, a single public arbitrator from the FINRA roster of
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August 26, 2009
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Blog, Securities Fraud
LawyersDirections.com, local lawyers and attorneys.
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August 26, 2009
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) has recently fined three broker-dealers- J.P. Turner & Co. of Atlanta, Georgia, Park Financial Group, Inc. or Maitland, Florida, and Legent Clearing, LLC of Omaha, Nebraska- for failing to implement reasonable anti-money laundering compliance programs, including
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August 26, 2009
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Blog, Securities Fraud
Reynold Frank Vaughan III suspended from FINRA for four months for securities violations. Without admitting or denying the findings, Vaughan consented to the suspension and to the entry of findings that he engaged in unsuitable trading in customers’ accounts by engaging in speculative securities transactions without
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August 25, 2009
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Blog, Securities Fraud
According to a recent FINRA announcement, Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, was really fined $5,000 and suspended for 10 business days. Without admitting or denying, Roden consented to findings that he exercised discretion in a customer’s account without the customer’s prior
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August 24, 2009
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Blog, Securities Fraud
Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in Miami, Florida, suspended from FINRA and fined $5,000. Without admitting or denying the findings, Pereira consented to the entry of findings that, without customers’ authorization, he falsified their signatures and affixed them onto delivery
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August 24, 2009
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Blog, Securities Fraud
Jamie Patrick Lake, formerly of Questar Capital Corporation in Scranton, Pennsylvania, barred from FINRA. Without admitting or denying the findings, Lake consented to the entry of findings that he solicited customers to invest a total of $729,500 in different investment schemes through his weekly radio talk-show and
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August 23, 2009
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Blog, Securities Fraud
On August 19, 2009, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Matthew D. Weitzman. The Order finds that on June 26, 2009, a judgment was
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August 23, 2009
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Blog, Securities Fraud
On August 19, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions against Michael A. Atkins. The Order
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August 23, 2009
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Blog, Securities Fraud
Find great Dog Names at seeFIDO. This site is listed under Law Directory
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