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Blog Posts in April, 2014

Douglas Frank Cmelik Fined & Suspended for Inaccurately Marked "Unsolicited" Penny Stock Sales

FINRA fined and suspended Ameriprise Financial, Inc. broker Douglas Frank Cmelik for allegedly improperly marking penny stock sales as unsolicited when, in fact, he solicited the purchases. FINRA Case ...
Continue reading "Douglas Frank Cmelik Fined & Suspended for Inaccurately Marked "Unsolicited" Penny Stock Sales" »

Background Checks for Brokers Newest Requirement for FINRA-Member Firms

FINRA approved amendments to the broker regulator's supervision rule that expands the scope of background checks required for FINRA-member firm new-hires. Under the terms of the approved proposal, ...
Continue reading "Background Checks for Brokers Newest Requirement for FINRA-Member Firms" »

Infinex Fined for Unsuitable Recommendations of Non-Traditional Inverse, Leveraged ETFs

FINRA censured Infinex Investments, Inc. and fined the firm $75,000 plus an order of $287,171.75 in restitution for multiple failures related to sales of inverse and inverse-leveraged exchange traded ...
Continue reading "Infinex Fined for Unsuitable Recommendations of Non-Traditional Inverse, Leveraged ETFs" »

Study: Brokers Who Fail Basic Securities Exams Have More BrokerCheck Black Marks, Disclosures

Brokers who have failed a basic securities exam at least one time are more likely to have been subsequently disciplined by FINRA, the SEC or other regulators, according to recent analysis by the Wall ...
Continue reading "Study: Brokers Who Fail Basic Securities Exams Have More BrokerCheck Black Marks, Disclosures" »

SEC Charges San Diego's Total Wealth Management with Fraud in Kickbacks Scheme

The Securities and Exchange Commission charged Total Wealth Management, Inc., an advisory firm headquartered in San Diego, California, with breach of fiduciary duty and fraud, alleging that the firm ...
Continue reading "SEC Charges San Diego's Total Wealth Management with Fraud in Kickbacks Scheme" »

Magnolia Gaerlan Fined & Suspended for Effecting Unauthorized Wire Transfers

FINRA fined and suspended Morgan Stanley sales assistant Magnolia Umangil Gaerlan of El Segundo, California for effecting multiple wire transfers to an unaffiliated third party account without proper ...
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Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information

FINRA suspended Steven Robert Tomlinson and fined him $10,000 for allegedly downloading confidential, personal and non-public information belonging to customers of his prior employing firm. Tomlinson, ...
Continue reading "Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information" »

Michelle Lee Kern Barred for Unlawful Conversion of $669,000 in Client Funds

FINRA barred Sacramento, California-based representative Michelle Lee Kern for the alleged unlawful conversion of a total $669,000 from client brokerage and checking accounts, including alleged theft ...
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Former MetLife Brokers Christopher Birli & Patrick Chapin Named in Civil Complaint Regarding $21 Million Annuities Scheme

FINRA filed a regulatory complaint against former MetLife Securities Inc. brokers Christopher Birli and Patrick Chapin, alleging the two schemed for seven years to artificially inflate commissions by ...
Continue reading "Former MetLife Brokers Christopher Birli & Patrick Chapin Named in Civil Complaint Regarding $21 Million Annuities Scheme" »

NY Firm Meyers Associates: A Standout Broker-Dealer Full of Black-Mark Reps with Disclosures

Every once in awhile, a FINRA-registered firm turns up as a safe haven for brokers with disclosures, or disciplinary actions and other measures taken to address allegations of misconduct. ...
Continue reading "NY Firm Meyers Associates: A Standout Broker-Dealer Full of Black-Mark Reps with Disclosures" »
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