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California Stockbroker Discipline Report for the First Quarter of 2011
2 May 2011, 11:23 pm
Alvin Waino Gebhart Jr., formerly with AFA Financial Group, LLC in Calabasas, California, was barred from association with any FINRA member and Donna Traina Gebhart, formerly with AFA Financial Group, LLC in Calabasas, California, was suspended from association with any FINRA member for one year and fined $15,000 in connection with engaging in private securities transactions without approval of their firm. [read post]
California Securities Fraud Lawyer Blog - http://www.californiasecuritiesfraudlawyerblog.com/
Ninth Circuit Holds That Scienter May Be Established Through An Objective Evaluation Of A Defendant's Deliberate Recklessness
13 Aug 2010, 6:14 am
 In In re Silicon Graphics, Inc. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/