July 2017

Brokers Get Aggressive In Erasing Old Complaints
A growing number of brokers are successfully erasing customer complaints from their records.

Finra Bars Former MS Broker In Improper Trades Case
The former Morgan Stanley rep was barred from the securities industry after refusing to testify in a Finra proceeding.

Pennsylvania Levies Record-Breaking Fine Against Florida Broker
Pennsylvania has fined Newbridge Securities for violations within its derivatives business.

California Scammers Impersonate Social Security Employees
Golden State fraudsters have cooked up a new Social Security scam.

SEC Sues Sister Of Convicted Ponzi Schemer
The sister is accused of illegally profiting from her brother's Ponzi scheme.