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Blog Posts in April, 2016

Paul Valencia Fined & Suspended for Discretionary Trading Without Customer or Firm Authorization

FINRA suspended Paul Frederick Valencia, formerly of World Equity Group, Inc. in Temecula, California, for effecting several discretionary trades in a customer's security account without proper ...
Continue reading "Paul Valencia Fined & Suspended for Discretionary Trading Without Customer or Firm Authorization" »

Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes

FINRA fined La Vista-based broker-dealer Securities America $250,000 for failing to conduct adequate due diligence and former Securities America broker Stuart Horowitz for recommending and engaging in ...
Continue reading "Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes" »

Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations

Customers of former LPL Financial LLC (Santa Ana, CA) broker Karl Horace Romero have, over the past few years, filed a series of disputes and complaints, alleging that Romero's unsuitable ...
Continue reading "Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations" »

Wells Fargo's Charles Frieda & Charles Lynch Rack Up Complaints Over Concentration, Suitability in 2015, 2016

Brokers Charles Henry Frieda and Charles Bernard Lynch of Wells Fargo Advisors in Irvine, California have racked up an alarming number of customer disputes over the last 15 months alone—31 total ...
Continue reading "Wells Fargo's Charles Frieda & Charles Lynch Rack Up Complaints Over Concentration, Suitability in 2015, 2016" »

Ryan Logan Fined & Suspended for Improperly Changing Client Contact Information, Causing Inaccurate Database

FINRA suspended former Northwestern Mutual Investment Services, LLC (Newport Beach, California) broker Ryan Alexander Logan and fined him $5,000 for changing customer's personal data and contact ...
Continue reading "Ryan Logan Fined & Suspended for Improperly Changing Client Contact Information, Causing Inaccurate Database" »

Equinox Securities, Stephen Oliveira & Chris Palkowitsh Barred for Excessive Trading & Churning in Customer Accounts, IRAs

FINRA sanctioned Equinox Securities of Redlands, California, and barred brokers Stephen Michael Oliveira and Chris Blain Palkowitsh for misconduct related to Palkowitsh's excessive trading and ...
Continue reading "Equinox Securities, Stephen Oliveira & Chris Palkowitsh Barred for Excessive Trading & Churning in Customer Accounts, IRAs" »

Greg Taylor Accused of Unethical Conduct Involving 75-Year-Old Widow with Dementia, False Statement to Firm

FINRA filed a complaint against former Morgan Stanley Smith Barney broker Gregory Scott Taylor, alleging that he failed to inform his firm that he had been named beneficiary of a 75-year-old ...
Continue reading "Greg Taylor Accused of Unethical Conduct Involving 75-Year-Old Widow with Dementia, False Statement to Firm" »

Former Wedbush Associate Shiva Naby Fined $25k & Suspended for Falsifying MSRB Documents

The FINRA Office of Hearing Officers suspended former Wedbush Securities associate Shiva Naby of the firm's San Francisco branch and fined her $25,000 for "willfully" falsifying ...
Continue reading "Former Wedbush Associate Shiva Naby Fined $25k & Suspended for Falsifying MSRB Documents" »

Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses

FINRA fined former Newport Coast Securities and JP Turner & Company (both branches in Palm Springs, CA) broker Leonard Allen Goldberg for using discretion without authorization in 300 unsuitable ...
Continue reading "Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses" »

Daniel Liang Fined & Suspended for Falsifying HSBC Documents, Requesting Customers Sign Blank/Incomplete Mutual Fund Forms

FINRA suspended former HSBC Securities (Pasadena, CA) broker Daniel Kahhong Liang and fined him $5,000 for falsifying multiple documents, including modifying several items after customers had signed ...
Continue reading "Daniel Liang Fined & Suspended for Falsifying HSBC Documents, Requesting Customers Sign Blank/Incomplete Mutual Fund Forms" »

FINRA Files Complaint Against BrokerBank, Alleging Misleading Press Releases & Recommendations

FINRA filed a complaint against BrokerBank Securities, Inc. and Chief Executive & Compliance Officer Philip Paul Wright for issuing "hundreds" of misleading press releases in violation ...
Continue reading "FINRA Files Complaint Against BrokerBank, Alleging Misleading Press Releases & Recommendations" »
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