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Blog Posts in November, 2017

Modesto's David Lee Reynolds Barred During Misappropriations Investigation

FINRA barred David Lee Reynolds, formerly of Principal Securities, Inc. and Allstate Financial Services, both of Modesto, California, after he failed to cooperate with an investigation into ...
Continue reading "Modesto's David Lee Reynolds Barred During Misappropriations Investigation" »

Brietburn Energy Partners (BBEPQ) Drops 99% In Value After Risks Become Reality

Once touted as a solid investment, Los Angeles-based Breitburn Energy Partners LP (over the counter as BBEPQ) suffered the fate of several oil-and-gas sector securities and Master Limited Partnerships ...
Continue reading "Brietburn Energy Partners (BBEPQ) Drops 99% In Value After Risks Become Reality" »

Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco

Touted by investment firms such as Wells Fargo and Morgan Stanley to their clients, Seadrill Limited (ticker symbol SDRL) reached its lowest price in 2017 after warning shareholders and bond owners of ...
Continue reading "Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco" »

Ex-Morgan Stanley Rep Timothy T Gibbons Suspended, to Pay $737,000 for Unsuitable Oil & Gas Over-Concentration in Elderly Accounts

FINRA suspended former Morgan Stanley broker Timothy Thomas Gibbons for unsuitable investment recommendations to five elderly and retired clients in their 70s, 80s, and 90s after Gibbons purportedly ...
Continue reading "Ex-Morgan Stanley Rep Timothy T Gibbons Suspended, to Pay $737,000 for Unsuitable Oil & Gas Over-Concentration in Elderly Accounts" »

Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly

The oil-and-gas Master Limited Partnership (MLP) Linn Energy (NASDAQ: LINE) plunged its investors further into financial peril with a 2016 Chapter 11 Bankruptcy filing, while a Bankruptcy Court this ...
Continue reading "Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly" »

FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity

In 2016, FINRA opened an investigation into former JP Morgan (Beverly Hills, CA) Vice President Farid Morim's alleged conversion of customer assets and alleged engagement in undisclosed outside ...
Continue reading "FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity" »

Jerry Guttman Barred for 10 Years of Unauthorized Private Securities Transactions

FINRA barred Jerry Lou Guttman, formerly of United Planners' Financial Services of America A Limited Partner in Phoenix, Arizona, for participating in private securities transactions without first ...
Continue reading "Jerry Guttman Barred for 10 Years of Unauthorized Private Securities Transactions" »

Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud

Former Hudson Valley Capital Management co-owner Mark Joseph Gillis pleaded guilty to securities fraud after investigators charged him with scheming to steal nearly $400,000 from investors. FINRA ...
Continue reading "Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud" »

Patricia Peterson Sanctioned for Unauthorized Discretionary Trades in WFG Accounts

Former WFG Investments, Inc. broker and present Innovation Partners LLC representative Patricia Gail Evershed Peterson of Nevada consented to a fine and suspension based on FINRA's findings that ...
Continue reading "Patricia Peterson Sanctioned for Unauthorized Discretionary Trades in WFG Accounts" »

Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading

A FINRA hearing panel barred broker Henry "Hank" Mark Werner for fraudulently churning an account held by a 77-year-old blind widow, resulting in hundreds of thousands of dollars of ...
Continue reading "Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading" »

Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints

FINRA barred former RBC Capital Markets and Janey Montgomery Scott representative Lisa Jacqueline Lowi (Lisa Vineberg) after she failed to cooperate with an investigation concerning customer ...
Continue reading "Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints" »

FINRA Bars Victor Michel for Failing to Cooperate with Investigation

FINRA barred former Financial West Group (FWG) broker Victor Michel for failing to provide requested testimony to FINRA as part of the regulator's investigations into allegations of sales practice ...
Continue reading "FINRA Bars Victor Michel for Failing to Cooperate with Investigation" »

Questar to Pay $800,000 for Overcharging Retirement Plan & Charitable Organization Customers

FINRA cited Questar Capital Corp for overcharging clients in failing to apply available sales charge waivers to eligible retirement accounts and charitable organizations, namely in transactions ...
Continue reading "Questar to Pay $800,000 for Overcharging Retirement Plan & Charitable Organization Customers" »

First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions

FINRA barred former First Allied Securities broker Masood "Mike" Husain Azad for allegedly failing to cooperate with an investigation into allegations he participated in unapproved ...
Continue reading "First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions" »

Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock

FINRA fined and suspended former Thomas Joseph Breslin Jr., formerly of LPL Financial's San Diego, California branch, for engaging in private securities transactions in a penny stock without ...
Continue reading "Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock" »
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