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Blog Posts in May, 2013

Merle Gene Walter Barred for Failure to Disclose Unethical Misconduct, Civil Judgments, Tax Lien

FINRA barred principal Merle Gene Walter for failing to disclose multiple instances of financial misconduct, unsatisfied civil judgments and a federal tax lien against him on his Form U4 and when ...
Continue reading "Merle Gene Walter Barred for Failure to Disclose Unethical Misconduct, Civil Judgments, Tax Lien" »

Andrew Lewis Pittman Barred in Relation to Elder Financial Misconduct Allegation

FINRA barred former Allstate Financial Services, LLC, Questar Capital Corporation and Sammons Securities Company, LLC broker Andrew Lewis Pittman for failing to cooperate with an investigation into ...
Continue reading "Andrew Lewis Pittman Barred in Relation to Elder Financial Misconduct Allegation" »

John Thomas Thornes Accused of Stealing $4.2 Million from Elderly Client, Scholarship Accounts

FINRA charged Thornes & Associates Inc. Investment Services President John Thomas Thornes (Redlands, California) with the improper conversion of $4.2 million. Thornes is accused of ...
Continue reading "John Thomas Thornes Accused of Stealing $4.2 Million from Elderly Client, Scholarship Accounts" »

David Lloyd Barber Fined and Suspended for Improper Loans, Concealment from Firm

FINRA suspended broker David Lloyd Barber of Rancho Santa Fe, California and fined him $25,000 for improperly receiving five loans totaling $867,000 from multiple customers of Barber's at Raymond ...
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Barbara Mary Bolk Fined and Suspended for Forging Customer Signatures, Effecting Unauthorized Transactions

FINRA suspended broker Barbara Mary Bolk of Pruco Securities, LLC and fined her $5,000 for engaging in unauthorized activity in a customer's account, including impersonation and forging the ...
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Oran Ben Carroll Suspended and Fined for Inadequate Due Diligence, Failure to Supervise

FINRA suspended Cambridge Legacy Securities LLC ("CLS") registered principal Oran Ben Carroll and fined him $50,000 for failure to conduct adequate due diligence of private placements of ...
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Former LPL Financial Adviser Blake Richards Charged in $2 Million Fraudulent Scheme

The Securities and Exchange Commission (SEC) charged former LPL Financial LLC broker Blake Richards with misappropriating $2 million from at least six clients in relation to a fraudulent scheme. 2013 ...
Continue reading "Former LPL Financial Adviser Blake Richards Charged in $2 Million Fraudulent Scheme" »

FINRA: Firms Must Adhere to Industry Rules and Be Honest with Investors

On May 21, 2013, FINRA chairman and CEO Richard Ketchum praised firms' overall improvement in increasing compliance with industry rules, but stated there is still work to be done. Specifically, ...
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Nancy Bolt Hill Fined & Suspended for Allegedly Failing to Disclose Outside Securities Accounts

FINRA suspended former Montecito Advisors, Inc. Chief Financial Officer Nancy Bolt Hill of Summerland, California and fined her $10,000 for allegedly failing to disclose securities accounts in which ...
Continue reading "Nancy Bolt Hill Fined & Suspended for Allegedly Failing to Disclose Outside Securities Accounts" »

Greg John Campbell Barred in $2+ Million Misappropriation Scheme

FINRA barred former LPL Financial and Merrill Lynch broker Greg J. Campbell after his alleged misappropriation of over $2 million in funds from customers at both firms, including elderly customers and ...
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SEC/FINRA: Selling Rights to Pension Income Streams, Investing in Third Party Pension Can Be Risky

The SEC and FINRA issued a joint Investor Alert warning of risks inherent with buying or selling pension or settlement income streams, including those related to a structured settlement. What both ...
Continue reading "SEC/FINRA: Selling Rights to Pension Income Streams, Investing in Third Party Pension Can Be Risky" »

Roman J Sledziejowski Barred for Converting $4.8 Million in Fraudulent Scheme

FINRA barred TWS Financial, LLC President and Owner Roman Jerzy Sledziejowski for allegedly converting and/or misusing funds from multiple customers as part of a fraudulent scheme. The Authority ...
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Sean Francis Sheridan Barred for Recommending Only Funds that Yielded Higher Commissions

FINRA barred former JP Turner & Company LLC broker Sean Francis Sheridan for allegedly recommending several hundreds of unsuitable mutual fund switch transactions in multiple customer accounts. ...
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Thomas Lloyd Kunkel Fined and Suspended for Unsuitable REIT Recommendations to Elderly and Unsophisticated Investor

FINRA suspended Thomas Lloyd Kunkel of Capital Financial Services and fined him $5,000 for improperly advising an unsophisticated, risk-averse customer to invest in high-risk illiquid Real Estate ...
Continue reading "Thomas Lloyd Kunkel Fined and Suspended for Unsuitable REIT Recommendations to Elderly and Unsophisticated Investor" »

Bill Alvin Ahlswede Fined and Suspended for False Information, Failing to Disclose Complaint Alleging Churning and Fraud

FINRA suspended Metlife Securities, Inc. associate Bill Alvin Ahlswede of Menifee, California for failing to disclose a complaint when he filed his industry-mandated Form U4. Similarly, FINRA charged ...
Continue reading "Bill Alvin Ahlswede Fined and Suspended for False Information, Failing to Disclose Complaint Alleging Churning and Fraud" »
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