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Blog Posts in April, 2017

Demitrios Hallas Charged in Unsuitable ETF Investment, Fraudulent $170k Misappropriation Scheme

The SEC charged former Forefront Capital Markets broker Demitrios Hallas with recommending daily leveraged exchange-traded funds (ETFs) and notes (ETNs) without a reasonable basis as to their ...
Continue reading "Demitrios Hallas Charged in Unsuitable ETF Investment, Fraudulent $170k Misappropriation Scheme" »

Ex-Merrill Lynch Broker Alec Rivera Pleads Guilty to $1 Million Theft from Clients

Former Merrill Lynch broker Alec J Rivera entered a guilty plea to charges of wire fraud for transferring over $1 million out of clients' investment accounts without their knowledge or consent. ...
Continue reading "Ex-Merrill Lynch Broker Alec Rivera Pleads Guilty to $1 Million Theft from Clients" »

John Olinghouse Sanctioned for Falsifying Documents, Settling Elder Diminished Capacity Customer's Complaint Away from Firm

FINRA fined and suspended broker John Edward Olinghouse, formerly of HD Vest and Fortune Financial Services in Sparks, Nevada, for falsifying forms, which he then submitted to HD Vest. FINRA also ...
Continue reading "John Olinghouse Sanctioned for Falsifying Documents, Settling Elder Diminished Capacity Customer's Complaint Away from Firm" »

FINRA Files OHO Complaint Against Berthel Fisher, Jeffrey Dragon over UIT Sales Practices

FINRA filed a complaint against Berthel, Fisher & Co. Financial Services, Inc., and former broker Jeffrey Paul Dragon over unit investment trust (UIT) sales to elderly and unsophisticated ...
Continue reading "FINRA Files OHO Complaint Against Berthel Fisher, Jeffrey Dragon over UIT Sales Practices" »

Hossein Amirraiahei Barred Over Unauthorized Discretionary Trading Investigation

FINRA barred former Wells Fargo Advisors rep Hossein "Amir Riahei" Amirriahei of the firm's Los Angeles, California branch following an investigation into allegations that he conducted ...
Continue reading "Hossein Amirraiahei Barred Over Unauthorized Discretionary Trading Investigation" »

Stockcross Financial Services of Beverly Hills Fined for Supervisory Violations, Failing to Timely Publish OTC Bids

FINRA censured and fined StockCross Financial Services of Beverly Hills $50,000 for failing to immediately publish a bid to reflect the price and size of 25 customer limit orders for over-the-counter ...
Continue reading "Stockcross Financial Services of Beverly Hills Fined for Supervisory Violations, Failing to Timely Publish OTC Bids" »

Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud

After FINRA barred former LPL Financial broker Robert Neil Tricarico for failing to cooperate with an investigation, Tricarico pled guilty in federal court to one count of wire fraud and received a ...
Continue reading "Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud" »

Tracy Turner Barred Over False and Misleading Oil-and-Gas Communications Probe

FINRA barred ex-Colorado Financial Service Corporation (Carlsbad, CA) broker Tracy Rae Turner and ordered $292,894.04 in fines following a November 2016 complaint alleging Turner's participation ...
Continue reading "Tracy Turner Barred Over False and Misleading Oil-and-Gas Communications Probe" »

Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company

FINRA fined and suspended Cetera Advisors LLC (San Diego, CA branch) representative Iain Patrick Reilly for impersonating clients during phone calls he made from 2013 to 2016 to an insurance ...
Continue reading "Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company" »
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