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Blog Posts in February, 2015

Former LPL Broker James Rosebrough Fined & Suspended for Undisclosed Outside Business Activity

FINRA fined and suspended former LPL Financial LLC broker James A. Rosebrough Jr. of Gilbert, Arizona for engaging in two outside business activities without notice while employed by LPL. FINRA AWC ...
Continue reading "Former LPL Broker James Rosebrough Fined & Suspended for Undisclosed Outside Business Activity" »

Gregory James Bolduc Fined & Suspended for Faking Customer Signatures on Disclosure Forms

FINRA suspended and fined former UnionBanc Investment Services, LLC broker Gregory James Bolduc for photocopying at least six customer signatures and submitting them as authentic to the Goleta, ...
Continue reading "Gregory James Bolduc Fined & Suspended for Faking Customer Signatures on Disclosure Forms" »

OHO Bars Sharon H Goodale After Allegations of Improperly Signing Pre-Filled Applications

A FINRA OHO panel barred former NYLife broker Sharon Hsun Goodale of San Dimas, California for failing to respond to five requests for information regarding an investigation into Goodale's ...
Continue reading "OHO Bars Sharon H Goodale After Allegations of Improperly Signing Pre-Filled Applications" »

Michael Richard Crow Fined and Suspended for Unauthorized Use of Discretion

FINRA fined and suspended former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Michael Richard Crow of San Jose, California for the unauthorized use of discretion in non-discretionary ...
Continue reading "Michael Richard Crow Fined and Suspended for Unauthorized Use of Discretion" »

BMA Securities Compliance Officer Dudley Muth Fined & Suspended for Inadequate AML Systems

FINRA suspended BMA Securities, Inc. Chief Compliance Officer Dudley Muth of Redondo Beach, California and fined him $20,000 for failing to establish, maintain and implement adequate supervisory ...
Continue reading "BMA Securities Compliance Officer Dudley Muth Fined & Suspended for Inadequate AML Systems" »

Former Compliance Officer Suing Cabot Lodge for Firing After He Reported Firm Misconduct

Former Cabot Lodge Securities, LLC Chief Compliance Officer Albert Akerman is suing firm owner Jacob Frydman along with the related entity United Realty Advisors, L.P., wholesaler of the United Realty ...
Continue reading "Former Compliance Officer Suing Cabot Lodge for Firing After He Reported Firm Misconduct" »

Ronald Paul Rafaloff Barred for Converting Elderly Retiree's Funds for Personal Use

FINRA settled with former Liberty Partners Financial Services, LLC (Bakersfield, California) broker Ronald Paul Rafaloff and barred him from the securities industry for converting an elderly ...
Continue reading "Ronald Paul Rafaloff Barred for Converting Elderly Retiree's Funds for Personal Use" »

FINRA Punishes JP Morgan's Gary R. Dennis for Outside Business Activity, and Shannon S. Hampton for Check Kiting

FINRA fined and suspended former JP Morgan Securities LLC broker Gary R. Dennis for engaging in an outside business activity and suspended Shannon S. Hampton for her role in a check kiting-scheme ...
Continue reading "FINRA Punishes JP Morgan's Gary R. Dennis for Outside Business Activity, and Shannon S. Hampton for Check Kiting" »

Paul DeFilippis Fined & Suspended for Helping Move Elderly Client's Funds to New Account in DeFilippis' Name

FINRA suspended former J.P. Morgan Securities LLC broker and banker Paul DeFilippis and fined him $5,000 for causing the unauthorized withdrawal of an elderly client's funds, and subsequent ...
Continue reading "Paul DeFilippis Fined & Suspended for Helping Move Elderly Client's Funds to New Account in DeFilippis' Name" »

William R. Kinyon Barred for Misuse of Elderly Client's Variable Annuity Funds

FINRA barred former NYLife Securities broker William Robert Kinyon of Castleford, Idaho for allegedly misappropriating $3,000 from an elderly client. Specifically, Kinyon purportedly took a $3,000 ...
Continue reading "William R. Kinyon Barred for Misuse of Elderly Client's Variable Annuity Funds" »

Shawn Michael Richardson Censured and Fined for Exercising Discretion Without Permission

FINRA fined Morgan Stanley Smith Barney LLC broker Shawn Michael Richardson and censured him for exercising discretion in a customer's account without permission. According to the findings, ...
Continue reading "Shawn Michael Richardson Censured and Fined for Exercising Discretion Without Permission" »
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