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Blog Posts in October, 2012

William Michael Jordan Fined and Suspended for Improper Recommendations and Lack of Due Diligence Related to Third Party's Slush Fund Operation

The Financial Industry Regulatory Authority suspended William Michael Jordan of Laguna Hills, California and formerly of Securities Equity Group (SEG), fining him $21,300, including disgorgement of ...
Continue reading "William Michael Jordan Fined and Suspended for Improper Recommendations and Lack of Due Diligence Related to Third Party's Slush Fund Operation" »

John Charles Guys Barred for Misappropriation of Funds, Creating Fake Premium Finance Agreements and Forging Customer Signatures

The Financial Industry Regulatory Authority barred broker John Charles Guys of Fairfield, Connecticut for the alleged misappropriation of $123,000 by fabricating documents and forging customer ...
Continue reading "John Charles Guys Barred for Misappropriation of Funds, Creating Fake Premium Finance Agreements and Forging Customer Signatures" »

Stuart L Funke Suspended for Soliciting $500,000 in Loans without Firm Approval

The Financial Industry Regulatory Authority has suspended Stuart L. Funke through October 15, 2013 for soliciting $500,000-worth of loans in exchange for a promissory note, failing to notify his ...
Continue reading "Stuart L Funke Suspended for Soliciting $500,000 in Loans without Firm Approval" »

Fidelity Brokerage Fined $375,000 for Misleading Advertising, Supervisory Failures Related to Mutual Fund Sales

The Financial Industry Regulatory Authority has fined Fidelity Brokerage Services, LLC and Fidelity Investments Institutional Services Company, Inc. $375,000 for providing misleading sales and ...
Continue reading "Fidelity Brokerage Fined $375,000 for Misleading Advertising, Supervisory Failures Related to Mutual Fund Sales" »

Attila Gyula Toth Accused of Soliciting an Investment and Misusing Customer Funds

The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Workman Securities Corp. general securities representative Attila Gyula Toth for allegedly soliciting and misusing ...
Continue reading "Attila Gyula Toth Accused of Soliciting an Investment and Misusing Customer Funds" »

Ralph Thomas Gannett Suspended for Inadequate Due Diligence Related to Private Placement Sale

The Financial Industry Regulatory Authority suspended Ralph Thomas Gannett, most recently of Independent Financial Group, LLC, for effecting inappropriate sales of a private placement offering to ...
Continue reading "Ralph Thomas Gannett Suspended for Inadequate Due Diligence Related to Private Placement Sale" »

United Planners & CCO Douglas Hall Fined for Lack of Supervision with respect to Variable Annuities

The Financial Industry Regulatory Authority censured and fined United Planners Financial Services of America, headquartered in Scottsdale, Arizona, $200,000 and its Chief Compliance Officer Douglas ...
Continue reading "United Planners & CCO Douglas Hall Fined for Lack of Supervision with respect to Variable Annuities" »

FINRA Complaint Alleges Harry Ward Hunt Engaged in Excessive and Unsuitable Trading, Resulting in Commissions Paid to Broker

The Financial Industry Regulatory Authority (FINRA) filed a complaint against broker Harry Ward Hunt, alleging that between June 2009 and May 2010, Hunt engaged in excessive and quantitatively ...
Continue reading "FINRA Complaint Alleges Harry Ward Hunt Engaged in Excessive and Unsuitable Trading, Resulting in Commissions Paid to Broker" »

Complaint Issued Against John Cherry III Alleging Improper Use, Conversion of Customer Funds

The Financial Industry Regulatory Authority filed a Complaint alleging that broker John Cherry III, formerly of World Group Securities, Inc. ("WGS") misused at least $374,000 of customer ...
Continue reading "Complaint Issued Against John Cherry III Alleging Improper Use, Conversion of Customer Funds" »

James Scott McKee Barred for Misrepresentations, Omissions to Induce Customers to Buy Securities

The FINRA Office of Hearing Officers barred broker James Scott McKee for alleged actions covering a wide variety of misconduct, including making willful and reckless material misrepresentations and ...
Continue reading "James Scott McKee Barred for Misrepresentations, Omissions to Induce Customers to Buy Securities" »

Charles Duane Lewis Barred After Felony Convictions for Theft from Elder, Fraudulent Appropriation of Funds

The Financial Industry Regulatory Authority' barred broker Charles Duane Lewis, owner of Fletcher Hills Tax Service (El Cajon, California) and formerly associated with H.D. Vest Investment ...
Continue reading "Charles Duane Lewis Barred After Felony Convictions for Theft from Elder, Fraudulent Appropriation of Funds" »
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