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Blog Posts in June, 2015

Bruce R Geiger Fined & Suspended for Falsifying Annuity and Life Insurance Forms Causing $500k in Withdrawals

FINRA suspended former Thrivent Investment Management, Inc. broker Bruce R Geiger of Visalia, California for falsifying over 100 forms, subsequently causing the inappropriate disbursement of client ...
Continue reading "Bruce R Geiger Fined & Suspended for Falsifying Annuity and Life Insurance Forms Causing $500k in Withdrawals" »

SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts

The SEC is increasing scrutiny in its reviews of retirement account and investments targeted to seniors, releasing a "National Exam Program Risk Alert" vowing to focus on brokers and ...
Continue reading "SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts" »

Morgan Stanley & Scottrade Fined $950,000 for Failing to Detect Third-Party Wire Transfers due to Inadequate Supervisory Systems

FINRA fined Morgan Stanley Smith Barney, LLC and Scottrade, Inc. a combined $950,000 for the firms' failure to maintain reasonable supervisory systems to monitor for wire transfers out to ...
Continue reading "Morgan Stanley & Scottrade Fined $950,000 for Failing to Detect Third-Party Wire Transfers due to Inadequate Supervisory Systems" »

Wells Fargo Accused of Deficient Due Diligence on ETF-Based F-Squared Investment Losses

An elderly client Wells Fargo filed a claim requesting arbitrators award damages of over $100,000 for what he alleges are losses incurred as the result of Wells Fargo's failure to conduct adequate ...
Continue reading "Wells Fargo Accused of Deficient Due Diligence on ETF-Based F-Squared Investment Losses" »

Heedo "Joshua" Han Barred for Failure to Cooperate with Investigation into Forgery Case

FINRA barred former NYLife Securities rep Heedo "Joshua" Han out of the firm's Los Angeles branch as the result of an investigation into Han's insurance business and a complaint ...
Continue reading "Heedo "Joshua" Han Barred for Failure to Cooperate with Investigation into Forgery Case" »

SEC Charges Chad Wiegand, Akis Eracleous with Insider Training, Duo Agrees to Securities Ban

The SEC charged FINRA-registered brokers Chad Edward Wiegand and Akis Costas Eracleous, both formerly of National Planning Corporation in Southern California, with insider trading and federal ...
Continue reading "SEC Charges Chad Wiegand, Akis Eracleous with Insider Training, Duo Agrees to Securities Ban" »

Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment

FINRA suspended Michael Jay Strasser (CRD# 1456856), formerly of Mill Valley, California's Financial West Group, and fined him $2500 for failing to disclose a judgment against him on multiple ...
Continue reading "Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment" »

Michael A. DeMaria Fined & Suspended for Unauthorized Transfer of Customer Funds

FINRA suspended former Northwestern Mutual Investment Services, LLC broker Michael Andrew DeMaria of San Francisco, California and fined him $15,000 for transferring mutual fund assets from a ...
Continue reading "Michael A. DeMaria Fined & Suspended for Unauthorized Transfer of Customer Funds" »

William G Stapleton Barred After Investigation into Annuity Misrepresentations

FINRA barred former J.P. Morgan Securities LLC broker William Gerard Stapleton (aka Welleam Stapleton) of Southern California after an investigation into allegations that Stapleton and a third party ...
Continue reading "William G Stapleton Barred After Investigation into Annuity Misrepresentations" »

Jack T. Johnson Fined & Suspended for Accepting Inside Information Transaction

FINRA suspended Jack Theodore Johnson, formerly with Morgan Stanley in Claremont, California, and presently a First Vice President and financial advisor with RBC Capital Markets, LLC in Pasadena, for ...
Continue reading "Jack T. Johnson Fined & Suspended for Accepting Inside Information Transaction" »
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