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Blog Posts in October, 2018

Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm

FINRA fined and suspended Intrepid Investment Bankers LLC (Los Angeles, CA) Senior Managing Director and President W Michael Rosenberg for failing to timely disclose new investment accounts he opened ...
Continue reading "Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm" »

John Simoncic Barred for Churning Retirement Accounts with VIX ETF

FINRA barred John Scott Simoncic, formerly of Financial West Group (Reno, Nevada and San Diego, California) and Securities America (Solana Beach, CA), for churning customer accounts, engaging in ...
Continue reading "John Simoncic Barred for Churning Retirement Accounts with VIX ETF" »

SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme

The Securities and Exchange Commissioner barred San Diego's Paul Thomas Rampoldi from acting as a broker, several months after Rampoldi's conviction in US District Court for the Southern ...
Continue reading "SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme" »

Andrew Mandell Barred for Refusing to Appear During Investigation

FINRA barred Andrew Jason Mandell, formerly of Network 1 Financial Securities in Oakland and Olympus Securities of New York, for refusing to cooperate with a FINRA investigation into potential ...
Continue reading "Andrew Mandell Barred for Refusing to Appear During Investigation" »

Joshua R. Jones fomerly of JP Morgan Sanctioned for Check Kiting

FINRA fined and suspended Joshua Robert Jones, formerly of JP Morgan Securities' Santa Monica branch, for transferring funds from an outside account to his personal bank account and onto a check ...
Continue reading "Joshua R. Jones fomerly of JP Morgan Sanctioned for Check Kiting" »

Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial

FINRA barred Charla Cynthia Kabana after she refused to cooperate with an investigation into the circumstances surrounding her termination from LPL Financial of Huntington Beach, CA, in which the firm ...
Continue reading "Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial" »

Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers

FINRA fined and suspended John-Aaron Lenhert, formerly of Morgan Stanley in Laguna Niguel, California, for borrowing funds from multiple customers without approval and for related misrepresentations, ...
Continue reading "Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers" »

Daniel Kittner Suspended for 700 Unauthorized Discretionary Trades

FINRA fined and suspended former Ameritas Investment Corp. broker Daniel K Kittner for effecting approximately 700 trades in six accounts without first contacting his customers. The findings indicate ...
Continue reading "Daniel Kittner Suspended for 700 Unauthorized Discretionary Trades" »

IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent

FINRA barred former Independent Financial Group (Pacific Grove, CA) broker Jon Richard Pariser after he failed to cooperate with an investigation into allegations surrounding the recommendation or ...
Continue reading "IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent" »

CFP Board Issues Revocation to Barred Wells Fargo Broker Charles Frieda

Barred from FINRA in December 2017 for unsuitable over-concentration in speculative oil and gas securities, resulting in significant losses for elderly customers, Anaheim's Charles Henry Frieda no ...
Continue reading "CFP Board Issues Revocation to Barred Wells Fargo Broker Charles Frieda" »
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