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Subject:  Re: Sgt. Bales a fradulent financial advisor Date:  3/20/2012  7:59 PM
Author:  MajorMajor78 Number:  70404 of 99387

How would the arny be expected to know in this case? The article says nothing about a criminal conviction or even criminal charges being filed. In fact it's quite clear that the case was held on the civil side and never entered into the legal system at all.

“fraud” and “unauthorized trading,” according to a ruling from the Financial Industry Regulatory Authority, the independent disciplinary board for brokers and brokerage houses...

There is no indication that the civil ruling weighed on Bales in recent years.

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