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	<title>Securities Fraud Blog</title>
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	<link>http://stockmarketlawsuit.com/securitiesfraudlawyer</link>
	<description>Find out if your broker is liable for your losses</description>
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		<title>FINRA Fines LPL Financial $7.5 Million; Largest Fine FINRA Has Ever Imposed in E-Mail Cases</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1399</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1399#comments</comments>
		<pubDate>Wed, 22 May 2013 18:30:02 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[email system failures by LPL]]></category>
		<category><![CDATA[failure to provide correct information to FINRA]]></category>
		<category><![CDATA[failure to supervise emails by brokers]]></category>
		<category><![CDATA[LPL Financial LLC]]></category>
		<category><![CDATA[LPL fined by FINRA]]></category>
		<category><![CDATA[LPL largest fine ever imposed by FINRA in email case]]></category>
		<category><![CDATA[LPL loss lawyer]]></category>
		<category><![CDATA[LPL losses]]></category>
		<category><![CDATA[LPL rapid growth]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1399</guid>
		<description><![CDATA[The Financial Industry Regulatory Authority Inc., also known as FINRA, announced that on May 21, 2013, it fined LPL $7.5 million for 35 separate  e-mail system failures. Also of note, LPL Financial, LLC, allegedly made misstatements to FINRA during its investigation of the failures. LPL also was ordered to create a $1.5 million fund to compensate brokerage customers potentially [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>Did You Invest in the Phil Scott Group?</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1392</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1392#comments</comments>
		<pubDate>Wed, 08 May 2013 17:51:38 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Merrill Lynch Bellevue Washington]]></category>
		<category><![CDATA[Phil Scott]]></category>
		<category><![CDATA[Phil Scott Group Bellevue Washington]]></category>
		<category><![CDATA[Phil Scott Group Merrill Lynch Bellevue Washington]]></category>
		<category><![CDATA[Phil Scott Walter Schlaepfer]]></category>
		<category><![CDATA[unsuitable investment recommendations]]></category>
		<category><![CDATA[Walter Schlaepfer]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1392</guid>
		<description><![CDATA[Soreide Law Group is currently investigating the Phil Scott Group, and Phil Scott  a/k/a Walter Schlaepfer. The Phil Scott Group operated out of Merrill  Lynch’s Bellevue, Washington office. According to FINRA&#8217;s BrokerCheck, Scott/Schlaepfer has been the subject of  many customer complaints since 2008. Some of the claims alleged that Scott/Schlaepfer made  unsuitable investment recommendations and misrepresentations.  So far FINRA Arbitration Panels have awarded [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Did You Invest in Airlink?</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1389</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1389#comments</comments>
		<pubDate>Wed, 08 May 2013 16:16:30 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Airlink private placements]]></category>
		<category><![CDATA[Airlink stock loss]]></category>
		<category><![CDATA[Airlink wireless private placement offerings]]></category>
		<category><![CDATA[high-risk private placements]]></category>
		<category><![CDATA[private placement loss lawyer]]></category>
		<category><![CDATA[private placement losses]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1389</guid>
		<description><![CDATA[Airlink is a pre-paid nationwide wireless products and service provider.  These private placements were sold to clients by their broker/dealers. Private placements, or private offerings, are securities issued by a corporation to investors outside the public markets.  Most private placements are exempt from SEC registration. For those investors who were recommended the private placement, Airlink, by a [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>FINRA Fines for Advertising On the Rise, Although Fines Are Down</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1386</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1386#comments</comments>
		<pubDate>Fri, 22 Mar 2013 18:10:27 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[ads for CMOs]]></category>
		<category><![CDATA[advertising fines on rise by FINRA]]></category>
		<category><![CDATA[advertising for REITs]]></category>
		<category><![CDATA[b-d failing to meet standards in advertising]]></category>
		<category><![CDATA[broker/dealers fined for ads]]></category>
		<category><![CDATA[Collateralized Mortgage Obligations]]></category>
		<category><![CDATA[elder abuse in investments]]></category>
		<category><![CDATA[failure to file advertising with FINRA]]></category>
		<category><![CDATA[false advertising by brokers]]></category>
		<category><![CDATA[Fines for ads are down by FINRA]]></category>
		<category><![CDATA[FINRA fines for advertising]]></category>
		<category><![CDATA[Real Estate Investment Trust]]></category>
		<category><![CDATA[selling to unsophisticated investors]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1386</guid>
		<description><![CDATA[The Financial Industry Regulatory Authority, or FINRA&#8217;s, disciplinary actions related to advertising violations continued to climb last year, rising from 45 in 2011 to 50 last year. However, fines from those cases dropped sharply, from $21.1 million in 2011 to $10.4 million in 2012 according to an article in onwallstreet.com. Advertising violations generated the fourth-largest [...]]]></description>
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		<item>
		<title>Leveraged ETFs Are Highly Speculative and Complex Investments</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1383</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1383#comments</comments>
		<pubDate>Thu, 21 Mar 2013 16:32:31 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[complex products sold by brokers]]></category>
		<category><![CDATA[Delphi Wealth Advisors]]></category>
		<category><![CDATA[Direxion Fund losses]]></category>
		<category><![CDATA[Direxion investment]]></category>
		<category><![CDATA[Direxion leveraged ETFs]]></category>
		<category><![CDATA[ETFs]]></category>
		<category><![CDATA[ETFs highly speculative and complex]]></category>
		<category><![CDATA[Exchange-Traded Funds]]></category>
		<category><![CDATA[Leveraged ETFs]]></category>
		<category><![CDATA[leveraged exchange traded funds]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1383</guid>
		<description><![CDATA[The Financial Industry Regulatory Authority, or FINRA, has been warning broker/dealers about the dangers of selling ETFs (Exchange Traded Funds) to their investors. FINRA has said that leveraged ETFs are unsuitable for investors who plan to hold them longer than one trading session, especially in the volatile markets. FINRA also said that the purpose of a leveraged ETF is to have investment [...]]]></description>
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		</item>
		<item>
		<title>Did You Invest in Hennessey Financial Monthly Income Fund?</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1381</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1381#comments</comments>
		<pubDate>Mon, 18 Mar 2013 17:29:30 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Anddrew Stuart Asset Management Hennessey Fund losses]]></category>
		<category><![CDATA[Andrew Rosenberg Hennessey Fund]]></category>
		<category><![CDATA[Andrew Stuart Asset Management Coral Springs FL]]></category>
		<category><![CDATA[Capital Solutions]]></category>
		<category><![CDATA[Capital Solutions Hennessey Fund]]></category>
		<category><![CDATA[Capital Solutions Monthly Income Fund]]></category>
		<category><![CDATA[Hennessey Financial Monthly Income Fund LP]]></category>
		<category><![CDATA[Hennessey Fund]]></category>
		<category><![CDATA[NFP Securities Inc]]></category>
		<category><![CDATA[Stuart Horowitz Hennessey Fund]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1381</guid>
		<description><![CDATA[Soreide Law Group has begun and investigation into NFP Securities, Inc., for investors who were sold the Hennessey Financial Monthly Income Fund, LP, also known as Capital Solutions (Hennessey Fund).  The Hennessey Fund was sold by Andrew Rosenberg and Stuart Horowitz, of Andrew Stuart Asset Management, Coral Springs, Florida.  There may have been other brokerages/financial advisors who sold the Hennessey Fund to their clients.  Investors were [...]]]></description>
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		</item>
		<item>
		<title>FINRA Barred Ellen Erenstein Permanently Due to TIC Sales</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1379</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1379#comments</comments>
		<pubDate>Mon, 18 Mar 2013 16:33:03 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Commonwealth Capital Corp Income and Growth Fund V]]></category>
		<category><![CDATA[Doral Court]]></category>
		<category><![CDATA[Eastern Point Advisors Inc]]></category>
		<category><![CDATA[Ellen Erenstein barred by FINRA]]></category>
		<category><![CDATA[Ellen Erenstein FL]]></category>
		<category><![CDATA[Ellen Erenstein TIC sales loss]]></category>
		<category><![CDATA[investors capital corp]]></category>
		<category><![CDATA[NNN St. Charles 6 LLC TIC]]></category>
		<category><![CDATA[Shoreview Corporate Center.]]></category>
		<category><![CDATA[Tenant-in-Common losses]]></category>
		<category><![CDATA[Tenants in Common]]></category>
		<category><![CDATA[TIC loss recovery lawyer]]></category>
		<category><![CDATA[TICs]]></category>
		<category><![CDATA[workman securities corporation]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1379</guid>
		<description><![CDATA[Soreide Law Group has file a FINRA arbitration on behalf of an investor who was sold the NNN St. Charles 6, LLC, Tenant in Common Investment along with an investment in a private placement called Commonwealth Capital Corp.&#8217;s income and Growth Fund V. These investments were sold by Ellen Erenstein. Ellen Erenstein, from South Florida, registered as [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Jeffrey Arthur Cashmore Suspended and Fined by FINRA</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1375</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1375#comments</comments>
		<pubDate>Mon, 11 Mar 2013 17:48:08 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[broker giving misleading information to client]]></category>
		<category><![CDATA[Class A mutual fund shares]]></category>
		<category><![CDATA[Class C Shares passed off by broker as Class A mutual funds]]></category>
		<category><![CDATA[Jeffrey Arthur Cashmore]]></category>
		<category><![CDATA[Jeffrey Arthur Cashmore LPL FINANCIAL]]></category>
		<category><![CDATA[Jeffrey Cashmore fined by FINRA]]></category>
		<category><![CDATA[LPL Financial LLC]]></category>
		<category><![CDATA[LPL loss lawyer]]></category>
		<category><![CDATA[LPL losses]]></category>
		<category><![CDATA[misleading investment information by brokers]]></category>
		<category><![CDATA[mutual fund loss lawyer]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1375</guid>
		<description><![CDATA[It was reported in FINRA&#8217;s BrokerCheck that October, 2012, FINRA fined and temporarily barred Jeffrey Arthur Cashmore, CRD# 1928725. The $5000 fine and one month suspension was the result of Cashmore allegedly providing his clients and potential clients with misleading information regarding investments. FINRA found that the materials provided to the clients failed to give them a fair basis [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>Wells Fargo Broker Barred by FINA and Ordered to Pay Back $650,000 to Client</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1373</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1373#comments</comments>
		<pubDate>Fri, 08 Mar 2013 18:09:07 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[adorean Boleancu Barred by FINRA]]></category>
		<category><![CDATA[Adorean Boleancu elder client fraud]]></category>
		<category><![CDATA[Adorean Boleancu ordered to pay back client]]></category>
		<category><![CDATA[brokers involved in elder abuse]]></category>
		<category><![CDATA[Wells Fargo broker Adorean Boleancu]]></category>
		<category><![CDATA[Wells Fargo broker barred by FINRA]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1373</guid>
		<description><![CDATA[FINRA, the Financial Industry Regulatory Authority, barred a former Wells Fargo broker and ordered him to pay $650,000 plus interest to a former client on the grounds that the advisor allegedly defrauded a client of at least the same amount. Adorean Boleancu opened two home equity lines of credit for an elderly, widowed client,  shortly [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Firms Fined by FINRA Over $2mill for Failures in Mutual Fund Breakpoint Review</title>
		<link>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1370</link>
		<comments>http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1370#comments</comments>
		<pubDate>Thu, 07 Mar 2013 19:04:55 +0000</pubDate>
		<dc:creator>admin</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[breakpoint discounts]]></category>
		<category><![CDATA[Class A mutural fund shares]]></category>
		<category><![CDATA[failure to give breakpoint discounts]]></category>
		<category><![CDATA[mutural fund breakpoint discount]]></category>
		<category><![CDATA[mutural fund breakpoint discount lack of compliance]]></category>
		<category><![CDATA[not receiving a breakpoint discount]]></category>
		<category><![CDATA[self-assessment by brokerages]]></category>

		<guid isPermaLink="false">http://stockmarketlawsuit.com/securitiesfraudlawyer/?p=1370</guid>
		<description><![CDATA[FINRA compiled a list in 2009 of the 25 firms fined over $2.1 million combined for failures related to their completion of FINRA&#8217;s firm self-assessment in mutual fund breakpoint discount compliance.  This information was listed on FINRA&#8217;s website. The breakpoint discounts are volume discounts applicable to front-end sales charges (front-end loads) on Class A mutual fund shares. [...]]]></description>
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