Securities Fraud Articles
Jose Martin Canales barred from securities industry
According to a recent FINRA Disciplinary Actions announcement, Jose Martin Canales (CRD #1945614, El Paso, Texas) submitted an AWC in which...
UBS Puerto Rico $5.2 Million Settlement with Regulators
According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations...
Jeb Bashaw Terminated from LPL Financial
According to InvestmentNews, the branch manager of LPL Financial in Houston, James “Jeb” Bashaw was recently terminated in...
Update on Blake Richards
According to financial-planning.com, Blake Richards, the former LPL adviser who was ordered to return nearly $2 million to investors and...
Stockbroker Admits to Wire Fraud
According to the Pittsburgh Post-gazette, James Grimes, a former broker with Financial Network Investment Corp., admitted to seven counts...
Louisiana Broker Sentenced to Prison
According to the US Attorneys Office for the Western District of Louisiana, Richard Joseph Buswell, a broker and business owner, was...
