October, 2009
Archive

October 15, 2009

Important securities and FINRA (NASD) links related to securities fraud,...

FINRA BrokerCheck/CRD (FINRA’s brokercheck allows anyone to check the registration

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October 14, 2009

Frank Dipascali, Jr., formerly of Bernard L. Madoff Investment Securities...

On October 5, 2009 the Commission issued an Order Instituting Administrative

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October 13, 2009

SEC Obtains Emergency Relief Against Randy W. Cho For Misappropriation...

On October 7, 2009, the Securities and Exchange Commission (SEC) filed an emergency

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October 10, 2009

Financial adviser Won Sok Lee pleads guilty to multi-million dollar...

As first reported by the Sun Sentinel, a former Riviera Beach attorney recently

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October 9, 2009

FINRA Fines Bank Broker-Dealers (McDonald Investments, IFMG Securities, Wells Fargo,...

The Financial Industry Regulatory Authority (FINRA) recently announced that it has

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October 8, 2009

FINRA issues alert about a recent auction rate securities “phishing”...

FINRA recently issued an Alert to warn the public about a recent auction rate

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October 7, 2009

Roberto Etiel Rodriguez, formerly of Leumi Investment Services Inc. in...

FINRA recently announced that Roberto Etiel Rodriguez, formerly of Leumi Investment

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October 6, 2009

Frederick J. Barton, formerly of Enterprise Equities, Inc. in Columbia,...

The SEC recently announcements that an Administrative Law Judge issued an Initial

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October 5, 2009

SEC charges Frank Bluestein, formerly of Gunnallen Financial, Inc. in...

The Securities and Exchange Commission recently announced that it had charged

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