This is your Sept. 26, 2013 issue of the State Securities Board Bulletin, a biweekly roundup of regulatory news and investor education information.

UBS and RBC Fined for Supervisory Failures

The two financial services firms paid a total of $600,742 in fines after acknowledging they allowed sales assistants to execute some trade orders without being registered to do so. READ

40-Year Sentence Handed Down in Fraud Targeting Elderly Women

Robert Joseph Mangiafico Jr. convinced his victims to liquidate legitimage securites and transfer the money to him to invest on their behalf. READ

Restitution Ordered in Oil and Gas Fraud

Sami A. London changed his name after one failed oil-and-gas venture landed in bankruptcy court. He had even worse results under his new name. READ



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