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Blog Posts in April, 2013

Kenneth Raden Miller Fined $20,000 & Suspended for Negligent Misrepresentations

FINRA fined former NFP Securities, Inc. associate Kenneth Raden Miller $20,000 and suspended him for six months after determining he made material and negligent misrepresentations and/or omissions in ...
Continue reading "Kenneth Raden Miller Fined $20,000 & Suspended for Negligent Misrepresentations" »

aryl Marc Holzberg Suspended for Failure to Adequately Supervise, Respond to Red Flags

FINRA suspended former Private Asset Group, Inc. principal Daryl Marc Holzberg of Tustin Ranch, California for failing to respond to several red flags indicating increased risks associated with ...
Continue reading "aryl Marc Holzberg Suspended for Failure to Adequately Supervise, Respond to Red Flags" »

Sean Placido Rodriguez Suspended, Fined and Ordered to Pay Partial Restitution for Unauthorized Trading

FINRA suspended supervisor Sean Placido Rodriguez of Glendale, California, fined him $10,000 and ordered disgorgement in the amount of $5,000, plus interest, for allegedly recommending and effecting ...
Continue reading "Sean Placido Rodriguez Suspended, Fined and Ordered to Pay Partial Restitution for Unauthorized Trading" »

Charles Chul Nam Barred, Ordered to Pay Restitution for Fraudulent REIT Scheme

FINRA barred Charles Chul Nam of Tarzana, California and ordered the former Woodbury Financial Services, Inc. (Woodland Hills, CA) and MML Investor Services Inc. (Tarzana) associate to pay restitution ...
Continue reading "Charles Chul Nam Barred, Ordered to Pay Restitution for Fraudulent REIT Scheme" »

Robert Louis Iola Jr. Fined & Suspended for Inaccurate Portfolio Valuation Summary Distributions

FINRA suspended Summit Equities, Inc. representative Robert Louis Iola, Jr. and fined him $5,000 for allegedly creating and distributing inaccurate and misleading portfolio valuation summaries to ...
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Jon Patrick Horvath Barred Following Fraudulent Alteration of Check, Conversion of Funds

In a default decision, FINRA barred former LPL Financial, LLC broker Jon Patrick Horvath for an alleged misappropriation of funds, failure to appear for testimony for FINRA's investigation and for ...
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Martin Benjamin Feibish Barred For Scheming to Misappropriate Over $5 Million From Elderly Customer Through Fake Investment Vehicles and Forgery

FINRA barred former MML Investor Services, Inc. broker Benjamin Martin Feibish after discovering that Feibish had developed a scheme with the goal of misappropriating more than $5 million from an ...
Continue reading "Martin Benjamin Feibish Barred For Scheming to Misappropriate Over $5 Million From Elderly Customer Through Fake Investment Vehicles and Forgery" »

Former Wound Management CEO Scott Haire Pleads Guilty to Securities Fraud

Former Wound Management CEO Scott Haire Pleads Guilty to Securities Fraud Scott Haire, the former CEO of Wound Management Technologies, Inc. and a former chairman and CFO of VHGI, Inc. pleaded guilty ...
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Once Granted, Permission to Trade with Discretion Can Be Problematic

When an investor grants "discretionary authority" to a broker to trade the investor's account using only the broker's own judgment, the grant of authority must be in writing and ...
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FINRA Increasing Scrutiny of Complex Products Marketed to Seniors

The Financial Industry Regulatory Authority is stepping up its investigation into how financial advisory firms market complex financial products directed at seniors and the elderly. According to FINRA ...
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FINRA Files Order to Shut Down Success Trade Securities, Claiming Firm Scammed Investors

FINRA filed a cease-and-desist order against Success Trade Securities, accusing the firm and its CEO and President, Fuad Ahmed of fraud related to sales of notes totaling $18 million. The notes were ...
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Karl Edward Hahn Ordered to Pay $11 Million to Customer for Investment Fraud & Misrepresentation

FINRA ordered former Merrill Lynch, Pierce, Fenner & Smith Inc., Deutsche Bank Securities Inc., and Oppenheimer & Co., Inc. broker Karl Edward Hahn to pay former clients over $11 million in ...
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Thomas Charles Conradt Pleads Guilty to Securities Fraud & Conspiracy in IBM Case

Former Euro Pacific Capital, Inc. broker Thomas Charles Conradt pleaded guilty to two felony counts of manipulative and deceptive devices (known as securities fraud) and one count of conspiracy to ...
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Dominic Cammarota Barred for Possession and Use of Unauthorized Notes During Series 6 Exam

FINRA has barred Dominic Cammarota of Santa Ana, California for allegedly possessing and using unauthorized materials during his Series 6 examination. Successful completion of the FINRA-administered ...
Continue reading "Dominic Cammarota Barred for Possession and Use of Unauthorized Notes During Series 6 Exam" »
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