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Search Results: unauthorized trading
Results 50-60 of about 95
Date: March 17, 2017
In their Puerto Rico bond fraud arbitration claim, the couple accused Stifel of negligence, unauthorized trading, and unsuitable investments, among other violations.
Date: February 27, 2017
FINRA Bars Registered Rep For $15M In Unauthorized Trades The Financial Industry Regulatory Authority has barred Craig David Dima, a former registered representative with KC Ward Financial, for making about $15M in unsuitable and unauthorized trades in the account of ...
Date: January 20, 2017
Securities Fraud: Jury Convicts Former Visium Portfolio Manager, Boston-Ex-Hilliard Lyons Broker Accused of Unauthorized Trades is Barred by FINRA, and Utah Businessman is Charged with Bilking Investors In $100M Ponzi Scam
Date: January 9, 2017
Dean fraudulently employed an in-and-out trading strategy that was not suitable for customers so that they could make more in commissions. ... Fowler and Dean are accused of violating the Securities Act of 1933 and the Securities Exchange Act of ...
Date: January 6, 2017
He filed a Financial Industry Regulatory Authority claim and is accusing the firm of breach of fiduciary, negligence, unauthorized trading , excessive trading, fraudulent inducement, and significant tax liability. The investor believes that over-concentation in risky sectors and over trading ...
Date: May 6, 2016
Four Credit Suisse Bankers Accused of Unauthorized Trading in Rich Clients’ Accounts, Bank of America Settles Mortgage Case for $190M, and Goldman Sachs to Pay Illinois Pension Fund $272M
Date: March 23, 2016
The panel ruled that the firm, branch manager Terry McCoy, and broker Ami Forte were jointly liable for breach of fiduciary duty, negligence, unauthorized trading, constructive fraud, unjust enrichment, and negligent supervision. ... Speer’s accounts, about 12,000 transactions took place, ...
Date: October 22, 2015
Commodity Futures Trading Commission said that Cash Flow Financial LLC, Alan James Watson, and Michael S.
Date: October 7, 2015
FINRA contends that Halcyon did not properly supervise Josephberg, who was making unauthorized trades and churning retail accounts.
Date: July 27, 2015
According to a group of doctors and their loved ones, Wyatt, who was their broker, made unauthorized and excessive trades in the stock market that cost them during and after the 2008 financial crisis. Wyatt bought thinly-traded stocks for the ...
