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Search Results: unauthorized trading
Results 40-50 of about 95
Date: February 27, 2018
FINRA Panel Orders Hilliard Lyons to Pay Damages to Elderly Client In a Financial Industry Regulatory Authority arbitration case, Hilliard Lyons is ordered to pay 84-year-old Elizabeth Nickens $445K in damages for losses she sustained from alleged churning and unauthorized ...
Date: February 14, 2018
Batchelor also is accused of trying to conceal his actions by faking a document that misrepresented unauthorized expenditures as a loan.
Date: January 3, 2018
The US Securities and Exchange Group announced that Khaled Bassily, the ex-head of ConvergEx Groups’ transition management business, has settled institutional investor fraud charges accusing him of taking part in a scam to hide from certain clients, which included religious ...
Date: December 14, 2017
Culpepper is accused of receiving more than $199K in undisclosed and unauthorized benefits and perks.
Date: November 18, 2017
Day Trader is Accused of Unauthorized Trades to Inflate Stock Prices and Make Illegal Profits The US Securities and Exchange Commission has filed civil charges against Joseph P. Willner accusing him of accessing over 100 brokerage accounts and making u ...
Date: September 28, 2017
The two men allegedly engaged in churning in customers’ accounts, unauthorized trading, and hiding material information from them, including that the transaction expenses (markups, commissions, markdowns, fees, postage, and margin interest ) for the investment recommendations would most likely exceed ...
Date: June 28, 2017
The claimants, Madeleine Carrero (as an in individual and as the trustee of Ulises Barros Carrero and Fideicomiso Ulises Barros), accused UBS of negligence, misrepresentation, breach of fiduciary duty, unauthorized trading, unsuitability, and breach of contract.
Date: June 27, 2017
Ameriprise started investigating Vick in 2010 because of suspect and unauthorized trades identified in McFadden’s account.
Date: June 14, 2017
Thomas, an ex-Woodbury Financial Services Inc. broker who was under investigation for unauthorized product sales . ... FINRA had been looking into whether Thomas recommended to Woodbury clients that they purchase an unauthorized product. ... In an unrelated FINRA case, ...
Date: April 27, 2017
The Financial Industry Regulatory Authority is the one that brought the ban, accusing him of misusing and misappropriating customer monies, settling a customer case without telling his firm, and taking part i n unauthorized trading .
