Securities Lawyer
Tag Archive

September 17, 2009

National Securities Corporation, in Seattle, Washington, fined by FINRA for...

FINRA recently announced that National Securities Corporation has been fined

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September 16, 2009

Former Chicago Bull Horace Grant wins award against Morgan Keegan...

As reported in the Chicago Tribune, former Chicago Bull Horace Grant won a $1.46

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September 16, 2009

FINRA Panel Bars New Jersey Broker John Mullins for Misappropriating...

On September 15, 2009, FINRA announced that a Financial Industry Regulatory

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September 15, 2009

Magistrate Judge Tells Texas Court that Citigroup Global Markets Holding...

The US District Court for the Western District of Texas should confirm an

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September 13, 2009

Walls Street’s Securitization of Life Settlements Next Big Securities Fraud...

As reported in the Gainesville Sun, after the mortgage business imploded last year,

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September 12, 2009

Plano, Texas man, William Fletcher, arrested, accused of oil securities...

As reported in the Dallas Morning News, another North Texan has been arrested on

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September 11, 2009

Boca investment fraud case involving Gary Gross formerly of Axiom...

As reported in the Sun Sentinel, three dozen mostly elderly South Florida investors,

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September 11, 2009

Compliance, Supervisory and other practices used by financial services firms...

Realizing that senior investors comprise a significant portion of those individuals

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Jamie P. Lake September 9, 2009

Jamie P. Lake, Named in SEC Investigation

Jamie P. Lake named in SEC investigation related to possible securities fraud

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September 8, 2009

Ronald E. Hardy, Jr., formerly of Aura Financial Services, Inc.,...

On September 2, 2009, the Securities Exchange Commission issued an Order Instituting

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