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Blog Posts in August, 2015

CFP Board Suspends Broker Michael T. Ryan of Santa Ana for Unauthorized Outside Business Activities

Following a FINRA suspension, fine and order of restitution imposed against former Newport Coast Securities and Securities America broker Michael Thomas Ryan of Santa Ana, California, the CFP Board ...
Continue reading "CFP Board Suspends Broker Michael T. Ryan of Santa Ana for Unauthorized Outside Business Activities" »

FINRA Bars Former Securities America Broker Derek Lee Miller Over Unsuitable Trading Investigation

FINRA barred Derek Lee Miller, a former broker with the Redondo Beach, CA branch of Securities America, after he refused to cooperate with an investigation into charges of unsuitable trading. Records ...
Continue reading "FINRA Bars Former Securities America Broker Derek Lee Miller Over Unsuitable Trading Investigation" »

Charles Schwab Fined $2 Million for Significant Net Capital and Supervisory Deficiencies

FINRA fined Charles Schwab & Co., Inc. $2 million for multiple net capital deficiencies which occurred in 2014, and for failing to have procedures in place for interdepartmental communications. ...
Continue reading "Charles Schwab Fined $2 Million for Significant Net Capital and Supervisory Deficiencies" »

Rush to Sell Overwhelms Brokerages, Shuts Online Clients Out from Transactions as Stocks Fall

Online customers of TD Ameritrade and Scottrade were locked out of their trading accounts during Monday's massive selloff causing a significant plunge in markets from the Dow Jones Industrial ...
Continue reading "Rush to Sell Overwhelms Brokerages, Shuts Online Clients Out from Transactions as Stocks Fall" »

Glenn Moffitt Barred Over Allegations He Converted Over $370,000 from Elderly Customer, Churned His Accounts

FINRA barred former broker Glenn Allen Moffitt of Henderson, Nevada over a customer dispute filed in Nevada's Clark County alleging that Moffitt misappropriated several hundreds of thousands of ...
Continue reading "Glenn Moffitt Barred Over Allegations He Converted Over $370,000 from Elderly Customer, Churned His Accounts" »

Walter Chao Fined and Suspended for Selling Facebook IPO Shares Away from LPL Financial, Supervisory Failures

FINRA suspended San Mateo, California broker and branch manager Walter Rae Chao and fined him $30,000 for participating in unauthorized private securities transactions while he was associated with LPL ...
Continue reading "Walter Chao Fined and Suspended for Selling Facebook IPO Shares Away from LPL Financial, Supervisory Failures" »

'Real Housewives of Beverly Hills' StockCross Financial Services Firm Fined for Naked Short Selling

FINRA fined Southern California-based StockCross Financial Services $800,000 for short-selling without first borrowing or delivering transacted shares for settlement as required by the SEC's ...
Continue reading "'Real Housewives of Beverly Hills' StockCross Financial Services Firm Fined for Naked Short Selling" »

Gehrin Michael Ortiz Barred After Investigation into Material Disclosure Violations and Omissions

FINRA barred former HSBC Securities USA, Inc. broker Gehrin Michael Ortiz of Pasadena, California, for failing to cooperate with an investigation into allegations that Ortiz failed to disclose ...
Continue reading "Gehrin Michael Ortiz Barred After Investigation into Material Disclosure Violations and Omissions" »

Caldwell International Securities Corp's Rasheed "Richard" Adams Barred for Churning, Excessive Trading

FINRA barred former Caldwell International Securities Corp. broker Rasheed "Richard" Aree Adams for unsuitable excessive trading and churning in customer accounts and in a manner ...
Continue reading "Caldwell International Securities Corp's Rasheed "Richard" Adams Barred for Churning, Excessive Trading" »

Wells Fargo Advisors Censured, Fined $500,000, $242k in Restitution Ordered for Unsuitable STRATS Sales

FINRA censured and ordered Wells Fargo Advisors to pay a total of $742k ($500k fine and $241,974.34 in restitution) for a series of failures related to the firm's structured repackaged ...
Continue reading "Wells Fargo Advisors Censured, Fined $500,000, $242k in Restitution Ordered for Unsuitable STRATS Sales" »

Michael J Talin Barred for Failure to Cooperate with Misappropriation, Elder Theft Investigations

FINRA barred former Woodbury Financial Services broker Michael Jeffrey Talin of Seal Beach, California for failing to cooperate with investigators after customers alleged that he misappropriated and ...
Continue reading "Michael J Talin Barred for Failure to Cooperate with Misappropriation, Elder Theft Investigations" »

FINRA Fines Aegis Capital $950,000 for Unregistered Penny Stock Sales and AML Violations

FINRA fined Aegis Capital Corp. $950,000 and suspended Chief and AML Compliance Officers Charles D. Smulevitz and Kevin C. McKenna for improperly selling unregistered penny stocks and for failing to ...
Continue reading "FINRA Fines Aegis Capital $950,000 for Unregistered Penny Stock Sales and AML Violations" »
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