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Blog Posts in July, 2016

Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm

FINRA fined and suspended Victor Michel, formerly of Financial West Group in Westlake Village, CA, for using his personal non-firm e-mail account for correspondence with a firm customer concerning ...
Continue reading "Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm" »

James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment

FINRA barred former JP Morgan Securities and Raymond James Financial Services broker James Earl Mahan III for failing to cooperate with an investigation into his recommendation of an unapproved ...
Continue reading "James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment" »

FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation

FINRA barred former Ameritas Investment Corp. broker Nathan Silva for his failure to cooperate with an investigation into several instances of misconduct, including an Ameritas charge that he ...
Continue reading "FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation" »

Ex-Wells Fargo Advisor Bradley Smegal Charged with Securities Fraud for Defrauding Clients Out of $5 Million, Making Ponzi Payments

Bradley Thomas Smegal, formerly of Wells Fargo Advisors and barred from the securities industry in 2012 following allegations he engaged in and solicited firm clients for unauthorized outside business ...
Continue reading "Ex-Wells Fargo Advisor Bradley Smegal Charged with Securities Fraud for Defrauding Clients Out of $5 Million, Making Ponzi Payments" »

FINRA Considering New Fund for Unpaid Arbitration Awards

FINRA is looking into creating a new relief fund specifically for unpaid arbitration awards, a board member stating "it's being worked on" in an interview with Financial Planning. The ...
Continue reading "FINRA Considering New Fund for Unpaid Arbitration Awards" »

Bernard McGee Barred for Fraudulent Annuity Sales, Lying About Surrendering Elderly Client's VA for Charitable Gift Annuity

FINRA barred broker Bernard Gregory McGee of Independent Financial Group for his role in advising an elderly client to surrender four variable annuity (VA) policies—incurring over $37k in ...
Continue reading "Bernard McGee Barred for Fraudulent Annuity Sales, Lying About Surrendering Elderly Client's VA for Charitable Gift Annuity" »

Prudential Annuities Fined $950k for Failing to Prevent Theft of $1.3 Million From Elderly Client's VA

FINRA fined Prudential Annuities Distributors, Inc. $950,000 for failing to stop a $1.3 million theft from an elderly customer's variable annuity (VA) account. In its decision, FINRA wrote that ...
Continue reading "Prudential Annuities Fined $950k for Failing to Prevent Theft of $1.3 Million From Elderly Client's VA" »

Wedbush Drops Appeal of $1 Million Fine for "Egregious" and "Willful" Blue Sheet Failures

FINRA's $1 million fine levied against Wedbush Securities (Los Angeles, CA) for incomplete and inaccurate blue sheet submissions and related audit/supervisory system failures became final after ...
Continue reading "Wedbush Drops Appeal of $1 Million Fine for "Egregious" and "Willful" Blue Sheet Failures" »

Complaint Against First Financial Equity Corp Alleges Supervisory Failures, Excessive Commissions

FINRA filed a complaint against First Financial Equity Corporation of Scottsdale, AZ and Chief Compliance Officer Melissa Ann Strouse of the firm's Arizona and San Diego, California branches, ...
Continue reading "Complaint Against First Financial Equity Corp Alleges Supervisory Failures, Excessive Commissions" »

Nickolus Finley (Waddell & Reed/San Diego) Cited for Copying & Pasting Customer's Signature

FINRA fined and suspended broker Nickolus William Finley, formerly of Waddell & Reed, Inc. in San Diego, California, for copying and pasting a customer's signature without authorization and ...
Continue reading "Nickolus Finley (Waddell & Reed/San Diego) Cited for Copying & Pasting Customer's Signature" »

Former HSBC & MKM Partners Rep Luis F Gil Sanctioned for Brokering Without a License

FINRA fined and suspended broker Luis Felipe Gil, formerly of HSBC Securities' and MKM Partners' San Francisco, CA branches, for engaging in securities activity without being properly licensed ...
Continue reading "Former HSBC & MKM Partners Rep Luis F Gil Sanctioned for Brokering Without a License" »

Update: Winston Turner Barred for Variable Annuity Fraud and/or Deception

In an update to March's industry complaint against former MetLife Inc. and Pruco Securities broker Winston Wade Turner, FINRA barred Turner from the industry after confirming that he indeed acted ...
Continue reading "Update: Winston Turner Barred for Variable Annuity Fraud and/or Deception" »

Ex-Merrill Lynch Broker John Arnold Sanctioned After His False Statements, Procedural Failures Allow Fraudster to Steal $127,200

FINRA suspended broker John Joseph Arnold, formerly of Merrill Lynch's Newport Beach, CA branch, and fined him $15,000 for failing to verify the identity of a customer prior to executing a wire ...
Continue reading "Ex-Merrill Lynch Broker John Arnold Sanctioned After His False Statements, Procedural Failures Allow Fraudster to Steal $127,200" »

Deutsche Bank Securities Fined $6 Million for Inaccurate and Late Blue Sheet Data

FINRA fined Deutsche Bank Securities Inc. $6 million for submitting inaccurate and untimely trade data concerning over one million transactions to FINRA/SEC, ordering the firm to improve its policies ...
Continue reading "Deutsche Bank Securities Fined $6 Million for Inaccurate and Late Blue Sheet Data" »
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