April, 2014
Archive

April 29, 2014

Los Angeles Broker Arrested for Allegedly Scamming Elderly Client

According to reports, a former Merrill Lynch broker was arrested at a financial

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April 25, 2014

Former Texas Broker Suspended

Former CCF Investments broker, Max Virgil Mawhirter, entered into a Letter of

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April 22, 2014

Illinois Forms Securities Fraud Section

According to a recent report in Crain’s, the US Attorney for the Northern

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April 22, 2014

NJ Broker Pleads Guilty to Fraud

According to FA-mag.com a former New Jersey borker, Randy Schneider recently plead

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April 19, 2014

Wall St. Cheat Sheet: Is Your Broker Churning Your Investment...

Financial Professionals are like any profession – there are good ones and there

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April 17, 2014

DBSI Executives Found Guilty

According to reports, CEO and president of DBSI, Douglas L. Swenson, was convicted

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Waveland Ventures Investigation, featured by Top Securities fraud attorneys at The White Law Group April 17, 2014

Update for Icon Leasing Fund 12 Investors

Concerned about investment losses in Icon Leasing Fund 12? Have you suffered losses

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April 15, 2014

PNC Investments LLC fined by FINRA

PNC Investments LLC (CRD# 129052, Pittsburgh, Pennsylvania) recently submitted a

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April 15, 2014

Merriman Capital, Inc. fined by FINRA

Merriman Capital, Inc. (CRD #18296, San Francisco, California) recently submitted a

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April 15, 2014

Chase Investment Services Corp. fined by FINRA

Chase Investment Services Corp. (CRD #25574, Chicago, Illinois) recently submitted a

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