Sarasota County Agrees to Over $23 Million Settlement with Wells Fargo UBS Facing Potential Liability for Tax Advice on Offshore Bank Accounts Yet Another Delay For The Universal Fiduciary Standard FINRA Panels Fails To Take Control Of Attorney UBS Lets Rogue Trader Cost Firm $2.3 Billion SEC Announces Charges For Insider Trading On Biotech Takeovers Regions Has Not Yet Found A Suitor For Morgan Keegan SEC Continues To Investigate CDO Deals FINRA Catches Firms Charging Excessive Seattle Firm Charged With Fraud By SEC Senior Citizens With Alzheimer's Are Targets For Elder Abuse Another Independent B-D Is Shuttered Phoenix Panel Orders Morgan Keegan To Pay In Bond Fund Case Deaf Community Targeted In TEP Scam Oppenheimer Is Hit With A $1.1M Award In Denver A Good Deal That Went Bad Goldman Settles With NY Regulator And Agrees To Put A Halt To FHFC Is Targeting Major Banks For MBS Deals FINRA Panel Says Wedbush Broker's Conduct Charles Schwab Says Banks Manipulated Libor SEC Charges Pair With Running A $22M Ponzi Scheme Survey Results Reveals Investor Sentiment SEC Files Fraud Charges Against Stifel Nicolaus For Defrauding Wisconsin School Districts Sale Of Private Placements Claims Another Independent B-D Wells Fargo And KPMG Agree To Pay $627M To Settle Claims By Pension Funds National Credit Union Administration (NCUA) Sues Goldman For Sales Of MBS Causing Credit Unions To Fail Citigroup Is Fined $500K For Failing To Supervise Former Broker Who Stole $800K From Clients $10 Billion Suit By AIG Adds To Bank Of America’s Woes Former Brigham Young Star And Atlanta Falcon’s Quarterback Is Caught In Ponzi Scheme Targeting Athletes Judge Tells Defendants In Fraud Scheme Wells Fargo $85M Fine Is Largest Ever By The Fed Wall Street Firms Are Continuing To “Robo-Sign” Documents Neuberger Is Slammed With A $5.5M Arbitration Award FINRA Says Former Next Rep Took Advantage Of Elderly Clients Claimants Win Schwab Yieldplus Fund Arbitration Claim Bank Of America's Tab May Be $27.5B Vs. $8.5B Athletics Benefactor And Financial Planner Found Dead After Ponzi Scheme Allegations Surface Massachusetts Files Suit Against RBC Capital Markets Credit Unions Sue JPM & RBS For Securitized Bond Losses SEC Reaches A $153.6 Million Settlement With JP Morgan On Allegations That It Misled Investors Former Robert Baird Broker Continues To Opera Despite Being Barred By FINRA Morgan Keegan Pays $210M To Settle Toxic Proprietary Fund Charges And Is Put Up For Sale By Parent Investors Confused About Standard Of Care Owed According To J.D. Power Survey SEC Says Stanford Investors Are Entitled To SIPA Protection Complex Structured Products Bank Of America SEC And FINRA Are Not On Same Page Regarding Private Placement Offerings Indianapolis Panel Orders Merrill Lynch To Pay $2.5 Million To Investor Bank Of America, Morgan Stanley And Goldman Sachs Continue To Be Scrutinized Over Securitization Of Loans Federal Subpoenas On The Way To Goldman Sachs For Internal Documents Relating To Mortgage Practice FINRA Fines Nuveen Investments $3M For Misleading Marketing Materials For ARPS Goldman Sachs Reaches A Deal With New Jersey For $26.5M Atlanta Panel Says Merrill Owes Elderly Couple $520,283 Elderly Couple In Dallas Receives $1.5M Award Against Raymond James $132,000 Award In DBSI 2008 Reg D Case Investors Can Now Access FINRA Disciplinary Actions Jury Finds Rajaratnam Guilty On All Counts Raymond James May Have To Pay $50 Million For Auction Rate Securities (ARS) Wells Fargo Subsidiary Is On The Market Sir Allen Stanford To Go To Trial In September 2011 1,000% Guaranteed Private Placement Offerings Generates A Wells Notice By Texas Regulators SEC Says Life Settlements Broker Misrepresented Life Expectancies Federal Home Loan Bank Sues Citigroup And Bank Of America Over Misstatements And Omissions Regarding MBS Lawsuit Against Largest Wall Street Banks Alleges Collusive And Predatory Practices Poll Reveals Wall Street Is Unpopular With American Public SEC Attorney Sued For Illicit Profits Rejoins Old Firm Report: 47% Increase Of Securities Lawsuits In First Quarter Of 2011 UBS Settles Bid Rigging Scheme With SEC For $160M Mortgage Backed Securities (MBS) Continue To Haunt Major Banks Major Wall Street Firms Allegedly Aided AIG In Fraudulent Scheme To Secure $137 Billion In Bailout Money Another Independent Broker Dealer May Go Out Of Business Lehman Brothers Claims Haunts JP Morgan Chase SEC Says Financial Exploitation Of Elderly Is Increasing Another Win For Claimants Against Morgan Keegan Bank Of America All Alone At The Top In The MBS Put Back Mess Ameriprise Is Putting Securities America Up For Sale CAP West Announces Financial Struggles A.G. Edwards Hit For Taking Advantage Of Elderly Morgan Stanley Has To Repurchase $323M ARS Elderly Investors Promised 9% To 12.5% In $7.7M Ponzi Scheme A Reg D Crackdown By FINRA Defunct Gunnallen Executives Settle With SEC For $55K Critics Say SEC Is Not Tough Enough On Lawbreakers Ameriprise Is Too Big To Let Securities America Fail Wachovia Hit With Civil Charges For Excessive Markups Of CDOs Goldman's Can't Shake Abacus Problems Regulation S-P Violation By Gunnallen Is A First For SEC FINRA Continues To Target Sellers Of Private Placements Corporate Attorney With Prestigious NY & DC Firms Involved In $32 Million Insider Trading Scheme Over 17 Years SEC Says Indian Computer Services Firm Overstated Income By More Than $1 Billion Aided By Auditors New FINRA Discovery Guide To Be Published In Federal Registry Latest FINRA Statistics Are Favorable For Investors Settlement Possible In Securities America Case Decision On Fiduciary Duty Rule Is Pushed Back Punitive Damages Awarded Against Morgan Keegan Wedbush Securities Hammered For $233,000 Were The Losses To Investors Caused By SEC Negligence? Credit Unions Stepping Up Against Major Banks SEC Charges FDA Employee Who Traded On Upcoming Announcements Of Drug Approvals Complex Structured Products Still The Focus Of FINRA Securities America Ups The Ante In Its Private Placement Case Gullible Hedge Fund Managers Suckered In $47M Utah Ponzi Scheme Goldman Sachs Joins Others In $5M Settlement With Colorado $19 Billion Paid By MBIA To Settle Toxic Debt Guarantees Morgan Keegan FINRA Awards Total $24 Million Massive Decrease In Capital Tied To Private Placements Goldman Board Member Charge With Passing Inside Information Study Shows Increase In FINRA Disciplinary Actions Investor Claims For Troubled Mortgages And Foreclosures Could Cost Largest U.S. Banks Billions HSBC North America Warns Of Fines Related To Foreclosures U.S. Banks Are Under The Microscope By SEC For Applying Window Dressing To Troubled Loans Clear And Convincing Evidence Costs Morgan Keegan $270,000 Securities America Garners A Big Win In Private Placement Case Brokers Appear To Be Ready To Push Investors Back In Market Consumer Trust In The Financial Industry Is Not Good SEC Lawyer Is Said To Have Profited From Madoff Scheme FINRA Notifies E*Trade Of Intention Pursue Action For Sale Of Auction Rate Securities (ARS) Always Remember - Little If Any Losses Occur If A Portfolio Is Properly Invested Another Ponzi Scheme Promising 30% Returns Private Placements Continue To Haunt Independents IndyMac Bancorp Charged With Fraud By SEC JP Morgan Sued By Allstate Over Mortgage Backed Securities (MBS) New Jersey Bond Rating Lowered To Tie AZ, KY, LA and MI Madoff Trustee Hated By Some And Loved By Others FINRA Fines Lincoln Financial For National Securities Notified Of Possible Enforcement Action Related To Private Placements Morgan Keegan Continues To Lose In Arbitration Indicted Financier Files $7.2 Billion Suit Against Feds Madoff Trustee Says Mets Owe $1 Billion Leading Seller Of Medical Captal / Provident Royalities Shut Down Citigroup Hammered With $6.4 Million Award Insider Trading Message: UBS Resolvers ARS Dispute With New Jersey For $1.5 Billion Nation's Largest Pension Fund Sues Lehman For Fraud Forex Fraud Alleged By Arkansas Pension Fund Trustee Says JP Morgan TD Ameritrade Settles With SEC For $10 Million Investors Have The Choice Of An All Public Panel Accredited Investor Requirement No Longer Includes Home Value Morgan Keegan Continues To Lose Bond Fund Cases Commission Says Merrill Hid $30.4 Billion In CDO Trustee Claims JP Morgan Knew Madoff Was Engaging In Fraud Heightened Scrutiny Of Muni-Bond Market By SEC Creditors Stand To Get Only 5% Of What They Are Owed Chicago And Los Angeles Mayors Predict Defaults CFTC Announces Charges In $14 Million Commodity Pool Scheme Municipal Bankruptcies Threaten The $3 Trillion Muni-Bond Market Threats To SEC, CFTC And FINRA Officials Leads To CEO Arrest Financial Crisis Commission Says Meltdown Was Avoidable Success Rate Against UBS Is 87% For Sale Of Lehman Notes Medical Provider Funding Corporation VI (“MP6”) Claimant Awarded $752,000 SEC Charges Merrill Lynch With Securities Fraud Countrywide Lawsuit Alleges Massive Fraud By Firm Greensboro Firm Charged With $65 Million Fraud on Pension Funds, School Endowments, Hospitals and Non-Profits Managers of Tax Free Fund for Utah (Tffu) Charged With Fraud Another Independent Broker-Dealer Taken Down by Private Placements Allstate Seeks $700 Million For MBS Losses Florida Reaches $25 Million Settlement With J.P. Morgan UBS Hit For $2.2 Million In Another Lehman Case Bonus Money Paid For Selling Mortgage Backed Securities (MBS) Evergreen Ultra Short Opportunities Fund (EUBAX, EUBBX, EUBCX & EUBIX) Ernst & Young Faces Fraud Charges Los Angeles Panel Orders Citigroup Markets To Pay $348,643 In An ASTA Five Case Oppenheimer Ordered To Buy Back $650,000 Auction Rate Securities Schwab Yieldplus Fund Opt Out Deadline Nears Major Banks Trying To Settle Sec Charges Relating To Mortgage Backed Securities (Mbs) And Collateralized Debt Obligations (CDO) Deloitte Partner And Wife Hit With Insider Trading Charges Municipal Arbitrage Loss Costs Citigroup $2.4 Million Citigroup Ordered To Pay Charity Again Moody’s Continues To Downgrade Residential Mortgage Backed Securities (RMBS) Due To Low Home Prices And High Unemployment Morgan Keegan Loses Big In Another Bond Fund Case Mortgage Backed Securities (Mbs) Repurchases May Cost $106 Billion Insider Trading Investigation Targets Three Hedge Funds $869 Million Settlement Between Hawaii & Citigroup In Auction Rate Securities (ARS) Case Deposition Testimony Reveals Countrywide’s Mortgage Mess UBS Sued For $2 Billion For Part In Madoff Ponzi Scheme Make Sure You Really Know What Your Broker’s Designations Mean Morgan Keegan Loses Bond Fund Case Where The Investors Did Their Own Research And Purchased Funds Through On-Line Firm Will Ferrell Loses $18 Million Arbitration Claim Enhanced Yield Reverse Exchangeable Securities With Contingent Downside Protection Another Big Auction Rate Securities (ARS) Award NYC Pension Plan Comptroller Requests Major Lenders To Review Lending And Foreclosure Procedures Two Madoff Employees Charged With Fraud Institutional Investors Attempt To Force Banks To Buy Back Mortgages And Mortgage Backed Securities (MBS) Wall Street Pockets $4 Billion On Interest Rate Swaps Oppenheimer Champion Income Funds Lost Nearly 80% In 2008 Citigroup Enters Into $95.5 Million Agreement To Repurchase Auction Rate Securities (ARS) In Landamerica Bankruptcy Case Oppenheimer Ca Municipal Funds Were Down 41% In 2008 Goldman Sachs Fined $650,000 UBS Fined $6.6 Million For ARS Marketing Regions Financial Corporation's (RF) Arrogance UBS Ordered To Pay $529,688 In Lehman Structured Notes Case Ferris, Baker Watts Ordered To Pay $690,000 For Inadequate Supervision & Restitution For Reverse Convertible Notes (Revcons) Could Bonds Be The Next Bubble? SEC Files Fraud Charges Against Medical Capital Holdings & Provident Royalties, LLC Government Employees Conned Into Investment That Never Existed New York Pension Fund Consultant Pleads Guilty Hedge Fund Founder Sentenced To 14 Years In Prison Alabama Securities Commission Continues To Investigate Morgan Keegan Another Week, Another Hedge Fund Brought Down FINRA Regulatory Notice: Commodity Futures Linked Securities Lack Of Supervision Results In Larger Arbitration Awards Countrywide Executive Settles With The Sec For $67.5 Million SEC Investigating Complex Structured Note Mammoth Award Addresses Citigroup's Failure To Supervise October 19thTwenty Three Years Ago FINRA Fines Ferris, Baker Watts Nearly $700,000 For Inappropriate Sales Of Reverse Convertible Notes Rmk Bond Fund Investors Awarded $9.2 Million Against Morgan Keegan In Houston, Tx Arbitration Case Citigroup Hit With $12 Million Award By Actor Larry Hagman A Fiduciary Standard For All Who Render Investment Advice $397,034 Compensatory Damages Plus Punitive Damages Awarded Wall Street Knew 28% Of Loans That Went Into Mortgage Backed Securities (MBS) Failed To Meet Basic Underwriting Standards FINRA Proposing To Give Investors The Option To Have Case Heard By All Public Arbitrators Subprime Mortgage Crisis Hits Credit Unions UBS Financial Services Hit Hard In Auction Rate Securities (ARS) Case SEC Reacts In Hopes Of Preventing Another Lehman Catastrophe Morgan Keegan Fraud Woes Continue Firms Must Elaborate On Why Their Financial Adviser Was Terminated FINRA Increases The Number Of Arbitrator For Panel Selection Securities fraud case studies How Wall Street Sweeps the Cash - January, 2007 Morgan Stanley Fined Over $1 Million for Failure to Supervise - October, 2006 $22 Million in Sanctions Levied Against Risk Capital Group and Five Brokers for Commodities Fraud - September, 2006 Prudential Enters into $600 Million Settlement for Market Timing - September, 2006 Eight Former Employees of Hampton Porter Indicted for Securities Fraud - June, 2006 Revenge of the Investors - May, 2006 Salomon Grey Financial Expelled by NASD - May, 2006 N.Y. Files Suit Against H&R Block for Sales of Unsuitable Retirement Accounts - March, 2006 David A. Noyes & Co. Pay $550K to Settle Variable Annuities Case - January, 2006 Waddell & Reed agrees to $11 million settlement in Annuities Switching Case - January, 2006 NASD Fines Merrill Lynch, Wells Fargo, and Linsco Over Mutual Fund Sales - December, 2005 SEC Settles Securities Fraud Charges Against Former Banc of America Broker - October, 2005 NASD Orders Morgan Stanley to Pay $6.1 Million For Fees-Based Account Violations - August, 2005 NASD Fines Hornor, Townsend and Kent for Improper Sales Contests, Email and Supervision Violations - July, 2005 USA's Biggest Seller of Variable Annuities Subpoenaed - June, 2005 Firms Aggressively Market Annuities to Seniors - May, 2005 Morgan Stanley Hit With Class Action Alleging Discovery Improprieties - May, 2005 15 Specialists from Big Board Are Indicted - April, 2005 Two Top Morgan Stanley Bankers Resign - April, 2005 Investors File Suit Against A.G. Edwards - April, 2005 NASD Rethinking Scope of Sales Contests Policy - March, 2005 NYSE Fines Merrill Lynch $13.5 Million - March, 2005 NYSE Disciplines Salomon Smith Barney for Supervisory Failures - March, 2005 President Bush's Uncle Loses Securities Arbitration Case - March, 2005 Jesup & Lamont: NASD Fines, Suspends Analyst - Feb, 2005 Details of stock research settlement outlined - Feb, 2005 Morgan Stanley Subpoenaed Over Annuity Sales - Jan, 2005 Edward Jones Details Payments by 7 Mutual Fund Companies - Jan, 2005 Securities and Exchange Commission is conducting an industrywide inquiry into conflicts of interest among consultants who advise pension funds Dec, 2004 Unit of H&R Block Is Accused of Fraud Nov, 2004 Five execs convicted in Enron barge case Nov, 2004 Regulators Charge Brokerage Firm Raymond James with Fraud Sept, 2004 Charles Schwab to pay $350K fine in mutual fund matter Sept, 2004 Research Settlement Completed: 2 More Banks Agree To Pay $100 Million Aug, 2004 Ameriprise to Pay $22 Million in Annuities Arbitration Case Ameriprise to Pay $22 Million (Part 2) NASD Variable Annuities NASD Variable Annuities - 2 NASD Variable Annuities - 3 Credit Suisse First Boston Lawsuits Fines, Findings May Bring IPO Case To A Head Invesco Lawsuits The WorldCom Settlement: What it Means for You Futures Fraud Commodity Pool Fraud Credit Suisse First Boston under fire for conflict of interest, misleading clients. Four Investment Banks to Pay $100.3 Million to Settle WorldCom Suit Securities and Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA) Why Securities Regulators Can't Help Defrauded Investors 10 Wall St. Firms Settle With U.S. in Analyst Inquiry Prudential Enters into $600 Million Settlement for Market Timing Practices (Part 2) Citigroup in $2.65 Billion WorldCom Settlement Citigroup Defendants To Pay $2.65 Billion In Settlement Of All Claims Against Them In Worldcom Securities Class Action Check Is Not In The Mail in WorldCom Settlement Salomon Smith Barney Disciplined for Supervisory Failures Relating to Electronic Communications Commodities Fraud Spitzer Fines Morgan Stanley for Failure to Supervise High Yield Bonds McLeod Agrees to Pay $4.4M in IPO Spinning Case Bond arbitration cases boom; More cases expected as interest rates rise Baltimore Panel Awards Retired Pilot $2.7 Million Case Against Justice Department & Sec Dismissed By Houston Judge Will Ameriprise Step Up To The Plate To Save Securities America? Morgan Stanley To Drop Smith Barney Name Sentinel Securities Broker Causes 9/11 Widow To Lose Over 50% Of Her Settlement For The Loss Of Her Husband The Stars Are Aligned For Crooks And Schemers Lennar Insider Trader Is A Convicted Con Man, Preacher And Anti-Fraud Crusader Family Trust Recovers $2.4M From Citigroup Owners Of Houston Rockets And Memphis Grizzlies Named In Suit Filed By Allen Stanford Receiver U.S. Senate Says Goldman Sachs Placed Own Needs Ahead Of Clients Mastermind Of $3 Billion Fraud Found Guilty On All Counts Mortgage Banker Admits To Role In $32.2 Million Insider Trading Scheme With Corporate Attorney And Trader Actor Larry Hagman Ends Up Settling With Citigroup Nelsonreid, Inc Ordered To Pay Investor $110,000 Atlanta Federal Judges Sides With JP Turner In A Rare Decision Northern Trust Nailed For Failing To Monitor 43% Of Their Business Independent Bd’s Sued By Bny And Wells Fargo Merrill And Credit Suisse Are Fined $7.5M For Misrepresenting Delinquency Data Nasdaq Official Pleads Guilty To Insider Trading Whistleblowers Can Now Go Straight To The Sec Morgan Keegan Loses Another Rmk Select High Income Fund Case Us Airways Wins $15 Million ARS Case In New York FINRA Chairman Issues Warning To Bd’s About Complex Products And Excessive Fees Knights Of Columbus Files Suit Against Bank Of New York Mellon Claim That Oppenheimer Fund Documents Were Misleading Is Settled For $100 Million Securities Network Joins A Long List Of Firms Shuttered By Private Placements That Went Bust Mortgage Securitization Probe Widens To Add Jp Morgan, UBS & Deutsche Bank Securities America Cuts A Deal For Massachusetts Medcap Investors Bank Of America Unit Accused Of Illegal Foreclosures Institutional Investors Lose $1 Billion In Fraudulent Scheme $1 Billion Ponzi Scheme Mastermind Gets 20 Years Family Partnership Wins $500,000 Award In Houston, Tx U.S. Government Sues Morgan Stanley For Risky Investments Former Nasdaq Employee Who Pled Guilty To Insider Trading Had A History Of Drug Abuse Investors Prefer Commissions Over Fees $400 Million Award Against Credit Suisse Affirmed By Second Circuit Former Bank Manager Ends Up In Prison After Living Well On The $14 Million She Stole From Clients Regulators In Illinois Shut Down Firm For Preying On Elderly Sophisticated Investors Are Not Immune To Being Defrauded UBS Is Ordered To Pay Investor $2 Million In Damages Pacific West Is Slapped With A $300,000 Award Plus Punitive Damages And Sanctions For Discovery Abuse Bank Of America Agrees To A $8.5B Settlement For MBS Claims Morgan Keegan On The Sales Block “The Ultimate Inside Job” Takes $19 Million SEC And FINRA Are Focusing On Non-Traded REITs Massive Award Entered Against Merrill Lynch Professional Clearing FINRA Chairman Wants To Get Away From Providing Investors Too Much Information FINRA Panel Orders Merrill To Pay $880,000 Merrill Lynch MBS Class Is Certified Royal Alliance Is Nailed For The Fraud Of Its Broker Madoff Trustee Now Wants $19B From JP Morgan For Enabling The Madoff Ponzi Scheme $1 Billion Suit Filed Against Deutsche Bank For MBS Fraud Biotech Wins $1.78M Case Against Nevwest Securities Goldman Sachs Is Said To Have Misled Insurance Companies In Their Purchase Of Freddie Mac Preferred Stock JP Morgan Reaches $228M Settlement In BID Rigging Conspiracy Raymond James Pays Nearly $300,000 To Settle ARS Claims Unsealed Whistleblower Case Reveals Unlawful Conduct Wedbush Securities Is Scolded In A $3.5M FINRA Award Wells Fargo Pays $125M To Settle MBS Claims Of Pension Funds Beleaguered Jefferson County Alabama Hires Bankruptcy Attorney FINRA Fines Suntrust $5M For ARS Violations SEC Brief Sides With ARS Investors Against Merrill Lynch Raymond James Files To Set Aside $1.7M Arbitration Award Department Of Justice Targets Wells Fargo For Inappropriately Steering African Americans Into High Cost Subprime Loans Claimants Awarded $291K Against Merrill Lynch $100M Deal Struck In Denver On Oppenheimer Funds Case Georgia Focuses On Sales Of Reverse Convertibles By Morgan Stanley, UBS Ag & Ameriprise Florida FINRA Panel Orders Merrill To Pay $8.1 Million NCUA Says Sales Of MBS By RBS Securities Led To Failure Of Credit Union FINRA Warns Investors About Chasing Returns By Going Into Complex Investment Products SEC Report Reveals B-Ds Wrongfully Steered Investors Into Complex Structured Products Ex-Citigroup Broker To Wealthy Mexicans Is Barred From The Securities Industry Wells Fargo Is Said To Be Violating Rights Of Heirs In Foreclosure Process Tenacious Trustee Cuts A $1B Deal With Tremont Group Oppenheimer Funds Opt Out Date Is August 31, 2011 “Reg-D” Offering Haunts Commonwealth & LPL Financial Another Big Loss For Morgan Keegan SEC Settles With Philadelphia RIA For $11 Million FINRA Panel Enters $940,000 Award Against Capwest Paying Her Bills With Customer Money Gets Former UBS Broker Banned By FINRA Ladenburg Thalman To Buy Securities America Former Credit Suisse Broker Accused Of ARS Fraud Goes To Jail Allstate Insurance Files Suit Against Goldman For MBS Fraud Former Frontpoint Manager Used Inside Information To Save Firm From Losing $30 Million Credit Rating Firms Are Targeted For Role In MBS Debacle Merrill Hit For Negligent Supervision While Ponzi Scheme Ran For Nearly A Year In Branch Office Morgan Keegan Loses Another Rmk Fund Case FHFA Report Reveals Improper Foreclosures Were Known In 2003 SEC Goes After Firms For Negligence To Catch More Wrongdoers Midway Manager Hit With Running Commodities Scam Raymond James Has To Pay $1.69M In Restitution And Fines Of $425K Basketball Player Caught Operating Ponzi Scheme Former Top Dog At FINRA Goes With LPL Financial Frequency Of New Jersey Regulators Come To Terms With Wachovia And Raymond James Over ARS Allegations 75 Year Old Ponzi Schemer Who Helped Destroy Gunnallen Is Sentenced To 16 Years In Prison Hedge Fund Billionaire Is Sentenced To 11 Years In Prison Private Placements Cause Another Indie To Fail B Of A Subsidiary Continues To Haunt The Firm Another NAPFA President Is Subject Of Fraud Investigation Life Settlement Fraud Scheme Nets Pair 105 Years In Prison Arbitrator Writes An Interesting Dissent To Award California Panel Says Societe Generale Liable For $61M One Of Biggest Names In Planning To Opt Out Of Indie Business Arbitrator: “There Was No Direct Order To Sell” Self Help Author Uses Ponzi Scheme To Expedite Restitution Regions Is Ponying Up $200M To Unload Its Morgan Keegan Unit Former Goldman Director Surrenders For Insider Tips MF Global: Missing Money, Failed Sale, Bankruptcy SEC Slaps FINRA For Doctoring Records Naked Short Sales Cost UBS $12 Million Brokerage Firms Duped In Free Riding Scam One Broker Settles – Other Gets Hit For $488,260 MF Global Holdings LTD Cases Elder Exploitation Cases Private Placements Principal Protected Notes Mortgage Backed Securities (MBS) And Collateralized Debt Obligation Cases (CDO) Reverse Convertible Notes High Yield Bonds Credit Default Swaps Results in New Lawsuits From Pensions Defective Swaps SHEPHERD SMITH EDWARDS & KANTAS LLP INVESTIGATING CLAIMS INVOLVING SBA RELATED SECURITIES PURCHASED THROUGH MORGAN KEEGAN & CO. FINRA Arbitration Panel Awards $16+ Million to Customers of BNP Paribas Securities Corp. SEC Official Offers Supervisors Tips For Combatting Improper Sales Practices SEC Publishes Controversial Proposal By NASD to Target Annuities Sales Practices SEC Backs Mutual Fund Director Rule SEC Eases Stock Offering 'Quiet Period' Rules Suitability Screens for VAs are Undergoing an Overhaul
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