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January 15, 2016
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Blog
Jeffery Bruce Risinger (CRD #6148229, Fishers, Indiana) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Risinger consented to the sanction and to the entry of findings that he refused to appear and provide FINRA with
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October 13, 2015
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Blog, Securities Fraud
Ever wonder who were the worst financial advisors of 2015? ThinkAdvisor compiled a list of 12 financial advisors who allegedly put their own self interests above their clients. According to ThinkAdvisor, the amount of money stolen was not the only factor considered. The type of victims they took advantage of and the
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March 7, 2013
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Blog, Securities Fraud
Lincoln Financial Securities Corporation (CRD #3870, Concord, New Hampshire) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $175,000. The firm has already paid $5.63 million in restitution to investors. Without admitting or denying the findings, the firm
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May 11, 2011
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Blog, Securities Fraud
Do you believe that you have been the victim of a ponzi scheme? The securities attorneys of The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm. The firm has offices in Chicago,
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March 4, 2011
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Blog, Securities Fraud
According to the Sun Sentinel, U.S. Rep. Ted Deutch recently unveiled proposed legislation aimed at protecting the elderly from financial scams. Deutch, D-Boca Raton, has submitted two bills that call for stiffer fines for fraudsters who prey on the elderly as well as the creation of an office within the Federal Trade
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December 14, 2010
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Blog, Securities Fraud
In the beginning of 2010, Arthur Leroy Heffelfinger, a former financial advisor with KMS Financial Services, Inc., was arrested in Montana on a felony charge of exploitation of an older person amid allegations he raided the account of a woman in her 90s to sustain a Ponzi scheme he had been operating for years.
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September 15, 2010
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Blog, Securities Fraud
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. The White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits
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July 9, 2010
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Blog, Securities Fraud
The U.S. Securities and Exchange Commission has recently sued a Utah man for fraudulently misusing $139 million of investor funds. According to a lawsuit filed in federal court in Salt Lake City, Travis Wright misappropriated all but $6 million of the $145 million he raised from about 175 investors between 2001 and
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October 28, 2009
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Blog, Securities Fraud
Oren Sullivan, NYLife Securities – William Spencer, Wiley Bros. The Financial Industry Regulatory Authority (FINRA) recently announced that in separate enforcement actions, it has permanently barred two stock brokers, Oren Sullivan & William Spencer, for running multi-million-dollar Ponzi schemes that
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August 9, 2009
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Blog, Securities Fraud
The Financial Industry Regulatory Authority has permanently barred a former Stifel, Nicolaus & Co., Inc. and AXA Advisors broker from the securities industry. Kenneth George Neely, who worked in Stifel Nicolaus’ St. Peters, Missouri office and AXA Advisors’ Clayton, Missouri office, has admitted to running a
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