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Aidikoff, Uhl & Bakhtiari Partner Ryan Bakhtiari to Speak at 2015 PLI Securities Arbitration Program

Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari has been invited to participate as a speaker at the 2015 Practicing Law Institute (PLI) conference program on Thursday, July 30, 2015. The PLI Securities Arbitration program is held at the PLI New York Center and also online by webcast.  The program brings together legal professionals with securities […]

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SEC Charges Investment Adviser With Defrauding Retired Teachers

The Securities and Exchange Commission today charged an investment adviser in Miami with siphoning money from his investment fund and defrauding investors, including several local teachers and law enforcement officers. The SEC alleges that Phil Donnahue Williamson conducted a Ponzi scheme with money he raised for the Sterling Investment Fund, which purportedly invested in mortgages […]

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FINRA Launches National Ad Campaign Promoting BrokerCheck

Spots Underscore the Ease and Importance of Checking Before You Invest The Financial Industry Regulatory Authority (FINRA) today launched a national ad campaign promoting BrokerCheck (brokercheck.finra.org), FINRA’s free online tool that allows investors to access information about every broker’s employment history, certifications and licenses, as well as regulatory actions, violations or complaints made against them. […]

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FINRA Sanctions LPL Financial LLC $11.7 Million for Widespread Supervisory Failures

LPL Ordered to Pay Approximately $1.7 Million in Restitution to Customers The Financial Industry Regulatory Authority (FINRA) announced today that it has censured LPL Financial LLC and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (ETFs), certain variable annuity contracts, non-traded real […]

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SEC Halts Fraudulent Farm Loan Scheme by Indianapolis Investment Adviser

The Securities and Exchange Commission today announced charges against an Indianapolis investment adviser, its president, two associates and several affiliated companies for engaging in two fraudulent farm loan offerings, in which they made ponzi scheme payments to investors in other offerings and paid themselves hundreds of thousands of dollars in undisclosed fees. The SEC obtained […]

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