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Tag: Washington

Blog, Securities Fraud Articles

December 20, 2010

Iowa Broker Dealers Named In Suit Involving Provident Royalties

According to the Business Record, DeWaay Financial Network LLC of Clive and three other Iowa investment brokers are among 49 firms that...

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Blog, Securities Fraud Articles

November 2, 2010

Rhonda Breard Barred From Securities Industry

Rhonda Breard, a Kirkland, Wash., investment adviser who has been accused of stealing an estimated $8 million from at least 38 clients, has...

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Blog, Securities Fraud Articles

June 15, 2010

Richard Albert Seefried suspended by FINRA

FINRA recently announced that Richard Albert Seefried, a financial advisor in Spokane, Washington currently registered with GVC Capital,...

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Blog, Securities Fraud Articles

October 6, 2009

Frederick J. Barton allegedly defrauded a client

The SEC recently announced that an Administrative Law Judge issued an Initial Decision in Frederick J. Barton (Barton), Admin. Proc....

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Blog, Securities Fraud Articles

September 17, 2009

National Securities Corporation fined for Corporate Bonds

FINRA recently announced that National Securities Corporation has been fined $105,000 and required to pay $15,697.91, plus interest, in...

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