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Blog Posts in May, 2017

FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations

FINRA charged Gold Coast Securities (Irvine, CA) broker Joseph C Farah with churning, excessive trading, suitability, undisclosed outside business activities, material misrepresentations, and ...
Continue reading "FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations" »

Michael Mahabir Barred After Conversion Investigation

FINRA barred former JP Morgan Securities LLC (Monrovia, CA) broker Michael Anthony Mahabir after investigating allegations that he converted funds from a bank customer. AWC #2017052878801 According to ...
Continue reading "Michael Mahabir Barred After Conversion Investigation" »

Wells Fargo to Restrict Structured Products, Municipal Bonds in IRA Accounts

In anticipation of a new Department of Labor fiduciary rule to take effect June 9, Wells Fargo Advisors will prohibit the sale of structured products in IRA accounts. In all, Wells Fargo will prohibit ...
Continue reading "Wells Fargo to Restrict Structured Products, Municipal Bonds in IRA Accounts" »

Andrew Logullo Sanctioned for Selling Away, Undisclosed Outside Business, and Improper Use of Discretion Trading Penny Stocks

FINRA fined and suspended former Ameritas Investment Corp. (Los Angeles) broker Andrew John "AJ" Logullo for failing to disclose outside brokerage accounts to Ameritas and for engaging in an ...
Continue reading "Andrew Logullo Sanctioned for Selling Away, Undisclosed Outside Business, and Improper Use of Discretion Trading Penny Stocks" »

Curian Clearing Fined for Failing to Deliver Prospectus Materials to Customers

FINRA censured Curian Clearing, LLC of Denver, Colorado, and fined the firm $50,000 for failing to deliver prospectuses related to a money market mutual fund to customers who purchased shares of the ...
Continue reading "Curian Clearing Fined for Failing to Deliver Prospectus Materials to Customers" »

Inglewood's Jose Jimenez Sanctioned for Allowing Unlicensed Son to Conduct Securities Business

FINRA suspended former PFS Investments broker Jose Enrique Jimenez and fined him $10,000 for permitting an unregistered person to engage in securities activities restricted registered individuals. ...
Continue reading "Inglewood's Jose Jimenez Sanctioned for Allowing Unlicensed Son to Conduct Securities Business" »

Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements

FINRA charged former Legend Equities broker Walter Joseph Marino with recommending unsuitable variable annuity replacements that benefitted him to the tune of $60,000 in commissions while his ...
Continue reading "Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements" »

FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse

FINRA censured and fined Summit Equities, Inc. $325,000 for failing to supervise variable annuity (VA) share class recommendations and for similar supervisory failures related to private securities ...
Continue reading "FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse" »

LPL Settles Over Non-Traded REIT Misconduct, Possible $8 Million Payout for Latest LPL Snafu

LPL Financial settled charges with the New Hampshire Bureau of Securities Regulation related to unsuitable and unlawful sales of non-traded real estate investment trusts (REITs), and for failing to ...
Continue reading "LPL Settles Over Non-Traded REIT Misconduct, Possible $8 Million Payout for Latest LPL Snafu" »

Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme

SEC officials charged former LPL Financial broker Thomas Edward Andrews of California with defrauding 23 investors by convincing them through lofty promises of high returns to liquidate their ...
Continue reading "Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme" »

Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors

FINRA barred former Raymond James & Associates broker Scott Allen Sibley for effecting approximately 900 securities transactions in the account of a 62-year-old client unable to work for medical ...
Continue reading "Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors" »
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