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FINRA Disciplinary Action Against Hunter Scott Financial, LLC 26 Aug 2013 | 04:42 pm
In August 2013, FINRA announced that Hunter Scott Financial, LLC submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $25,000. Without admitting or denying th...
FINRA Warns Investors of Marijuana Stock Scams 21 Aug 2013 | 12:11 am
On August 20, 2013, FINRA issued a new Investor Alert called “Marijuana Stock Scams” to warn investors about potential related scams. Medical marijuana is legal in almost 20 states, and recreational u...
FINRA Disciplinary Action Against Edward D. Jones & Co., L.P. 19 Aug 2013 | 07:17 pm
In August 2013, FINRA announced that Edward D. Jones & Co., L.P. submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $160,000. No restitution payment was prov...
FINRA Disciplinary Action Against G. Research, Inc. f/k/a Gabelli & Company, Inc. 18 Aug 2013 | 10:45 pm
In August 2013, FINRA announced that G. Research, Inc. f/k/a Gabelli & Company, Inc. submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $1,000,000. Without a...
SEC Announces Charges Against Florida-Based Penny Stock Schemes 14 Aug 2013 | 06:20 pm
On August 12, 2013, the SEC announced the latest charges in a joint law enforcement crackdown on penny stock schemes with ties to the Florida region. The SEC charged two microcap companies, their CEO...
FINRA Issues New Investor Alert, Cold Calls From Brokerage Firm Imposters—Beware of Old-Fashioned Phishing 7 Aug 2013 | 01:27 am
On August 6, 2013, FINRA issued a new investor alert called Cold Calls From Brokerage Firm Imposters—Beware of Old-Fashioned Phishing, to warn investors of cold calls from scammers falsely claiming to...
SEC Halts Ex-Marine’s Hedge Fund Fraud Targeting Fellow Military 7 Aug 2013 | 01:19 am
On August 6, 2013, the SEC obtained an emergency court order to halt a hedge fund investment scheme by a former Marine living in the Chicago area. The former Marine masqueraded as a successful trader...
FINRA Fines Oppenheimer & Co., Inc. $1.4 Million for the Sale of Unregistered Penny Stocks and Anti-Money Laundering Violations 6 Aug 2013 | 01:22 am
On August 5, 2013, FINRA announced that it had fined Oppenheimer and Co., Inc. $1,425,000 for the sale of unregistered penny stock shares and for failing to have an adequate anti-money laundering (AML...
SEC Charges Former Green Mountain Coffee Employee And Friend In $7 Million Insider Trading Scheme 3 Aug 2013 | 01:20 am
On August 2, 2013, the SEC announced insider trading charges against a former systems administrator at Vermont-based Green Mountain Coffee Roasters who repeatedly obtained quarterly earnings data and ...
FINRA Disciplinary Action Against Allan Jay Davidofsky 31 Jul 2013 | 06:29 pm
In July 2013, FINRA reported that Florida Registered Representative Alan Jay Davidofsky was fined $11,741.78, plus interest, which represents disgorgement, and barred from association with any FINRA m...
