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Blog Posts in September, 2015

Heidi Diana Carter Barred After Investigation into Alleged Theft from Customer

FINRA barred Heidi Diana Carter, a former broker with JP Morgan Securities' Hollywood branch and employee with JPMorgan Chase Bank in San Diego, for refusing to cooperate with an investigation ...
Continue reading "Heidi Diana Carter Barred After Investigation into Alleged Theft from Customer" »

FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs

FINRA barred former WFG Investments and Securities America supervisor Willard Lee Golightly aka Bill Golightly for failing to adequately respond to "numerous red flags" that one of his ...
Continue reading "FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs" »

FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct

FINRA is cracking down at firms such as Global Arena Capital Corp. which hire troubled brokers who move from one risky firm to another. The practice, known as "cockroaching" or "broker ...
Continue reading "FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct" »

Dean Michael Yurica Fined, Suspended for Falsifying Customer Documents, Re-Using Signatures

FINRA suspended Dean Michael Yurica, formerly of Sacramento's LPL Financial office, for falsifying over 100 customer account documents in contravention of firm procedures. FINRA also fined Yurica ...
Continue reading "Dean Michael Yurica Fined, Suspended for Falsifying Customer Documents, Re-Using Signatures" »

FINRA Fines, Suspends Tyler Boone Powell for Improper Use of Discretion

FINRA fined and suspended former Wells Fargo broker Tyler Boone Powell for exercising discretion in a client's account without first getting written authorization from the customer and from the ...
Continue reading "FINRA Fines, Suspends Tyler Boone Powell for Improper Use of Discretion" »

Marisa Nicole Pickar Suspended for Falsifying Documents, Reusing Customer Signatures

FINRA fined and suspended former Irvine-branch Wells Fargo broker Marisa Nicole Pickar for falsifying documents related to customer accounts without her customers' knowledge or authorization. ...
Continue reading "Marisa Nicole Pickar Suspended for Falsifying Documents, Reusing Customer Signatures" »

Darlene Kay Bandy Barred for Failure to Cooperate with Investigation into Conversion of Funds

FINRA barred former UBS Financial Services broker Darlene Kay Bandy of UBS' Los Angeles, CA branch for failing to cooperate with an investigation into allegations that she improperly converted ...
Continue reading "Darlene Kay Bandy Barred for Failure to Cooperate with Investigation into Conversion of Funds" »

La Mesa's Robert Earl Holaday Accused of Forging Customer Signatures

A FINRA OHO Hearing Panel found that former Royal Alliance Associates and Centaurus Financial advisor Robert Earl Holaday of La Mesa, California forged or caused the forgery of customer signatures on ...
Continue reading "La Mesa's Robert Earl Holaday Accused of Forging Customer Signatures" »

Investor Alert Warns of Pump-And-Dump Scams Delivered Through WhatsApp, Other Messaging Apps

FINRA issued an alert warning investors of bogus stock promotions and other solicitations sent via messaging apps for mobile devices such as iPhones and Androids such as the popular WhatsApp. ...
Continue reading "Investor Alert Warns of Pump-And-Dump Scams Delivered Through WhatsApp, Other Messaging Apps" »

Former B.B. Graham Broker Russell P. Macke Suspended After 16th FINRA Disclosure

On June 24, 2015, FINRA suspended former B.B. Graham & Company, Inc. broker Russell Philip Macke for failing to respond to a FINRA request for information. According to Macke's BrokerCheck ...
Continue reading "Former B.B. Graham Broker Russell P. Macke Suspended After 16th FINRA Disclosure" »
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