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Search Results: unauthorized trading
Results 40-50 of about 92
Date: January 3, 2018
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 organizations, retirement funds, and charities, that ...
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. However, contends the NFL player, he was never told of the probe or their concerns or that Vick was suspended months later.
Date: June 14, 2017
Thomas, an ex-Woodbury Financial Services Inc. broker who was under investigation for unauthorized product sales . Thomas was previously registered with Essex Securities.
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 .
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. For that portion of their case, the FINRA panel awarded the Burns $79,709, which was everything they lost, ...
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
