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Recent Posts in Conflict of Interest Category

127 results found. Viewing page 1 of 6. Go to page 1 2 3 4 5 6   Next

Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital

FINRA fined and suspended Thomas Edward Burns III for a series of errors on Alternative Investment Forms while at Crown Capital Securities (Orange, CA) that resulted in customer complaints and caused ...
Continue reading "Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital" »

Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California

With 14 customer disputes and millions paid in settlements since 2015 surrounding allegations of unsuitable recommendations, unauthorized trading, overconcentration, abuse of margin, fraud, elder ...
Continue reading "Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California" »

LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided

Shortly after FINRA barred former LPL Financial broker Christopher Joseph Lossing for failing to cooperate with its investigation, we're learning why Lossing was in trouble to begin with, as LPL ...
Continue reading "LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided" »

FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final

After FINRA barred former NMS Capital Securities (Beverly Hills, California) brokers Arthur Mansourian, Trevor Michael Saliba, Richard Daniel Tabizon (all Southern California), and Sperry Randall ...
Continue reading "FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final" »

Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents

FINRA fined and suspended former Edward Jones and Waddell & Reed broker Donald Logan for exercising 365 discretionary trades in 42 customer accounts from 2014 through 2018, all without ...
Continue reading "Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents" »

Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme

FINRA barred former Mutual Securities Inc. (Sacramento, CA) broker Gary Lyle Pevey for selling $1.11 million in Woodbridge promissory notes to 15 investors. Woodbridge is the name of the real estate- ...
Continue reading "Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme" »

2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks

The Securities and Exchange Commission announced its 2019 examination priorities, with an emphasis on protecting investors—especially senior clients and retirement accounts—from excessive ...
Continue reading "2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks" »

Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading

FINRA fined El Segundo, CA-headquartered Cetera Advisor Networks $1.4 million for a handful of violations and failures regarding broker Mark Charles Koehler's unsuitable and excessive trading of ...
Continue reading "Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading" »

SEC's Latest Los Angeles Complaint Charges 11 More in Woodbridge Ponzi Scheme

FINRA-registered brokers Alan Harold New co-owner of Synergy Investment Services and Jeffrey L Wendel, formerly of Center Street Securities and Wendel Investment Network headline a list of 11 ...
Continue reading "SEC's Latest Los Angeles Complaint Charges 11 More in Woodbridge Ponzi Scheme" »

FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations

FINRA's 2018 year-end Examination Findings Report identified several problem areas in the securities industry relative to broker and firm interactions with retail investors, including ...
Continue reading "FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations" »

Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit

FINRA barred former MML Investors Services (Irvine, CA) broker Nicholas Randolph Radke after he failed to cooperate with an investigation into allegations that he participated in a private securities ...
Continue reading "Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit" »

Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses

FINRA barred former Financial West Group (Los Angeles, CA) broker Sean J Waters for excessive trading in his elderly client's individual and IRA accounts with reckless disregard for his senior ...
Continue reading "Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses" »

Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme

FINRA barred broker Frank Roland Dietrich for his participation in a massive $1.2 billion Ponzi scheme related to investments in the Woodbridge Group of Companies, disciplining the former Quest ...
Continue reading "Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme" »

Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity

FINRA fined and suspended former JP Morgan (Culver City and Santa Monica, CA branches) broker Hector Villalta for engaging in an outside business activity without prior written notice to or approval ...
Continue reading "Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity" »

San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations

FINRA barred former National Securities Corporation (San Diego) broker Kyle Patrick Harrington for allegedly trying to obstruct FINRA and firm investigations into allegations that he converted ...
Continue reading "San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations" »

Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions

FINRA fined Luke Andrew Powell for participating in private securities transactions totaling $350,000 without providing proper written notice to his firm, Flying Cloud Securities of San Francisco, ...
Continue reading "Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions" »

LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud

The US District Court for Colorado sentenced former LPL Financial representative Sonya Delora Camarco to 20 years in prison for stealing several millions of dollars from clients between 2013 and 2017 ...
Continue reading "LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud" »

David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation

FINRA barred former Signator Investors Inc. broker David Carl Ferwerda for failing to cooperate with its investigation into the $1.2 billion Ponzi scheme concerning the Woodbridge Group of Companies, ...
Continue reading "David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation" »

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" »

Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients

FINRA fined and suspended former Ameriprise Financial Services and Moors & Cabot, Inc broker Robert Charles Torcivia for improperly accepting and failing to disclose fiduciary and beneficiary ...
Continue reading "Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients" »

FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License

FINRA fined and suspended Southern California broker Ryan Alexander Logan, formerly of MML Investors Services in Newport Beach, for commission sharing with an unregistered person—his sales ...
Continue reading "FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License" »

Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation

FINRA barred former Stifel, Nicolaus & Company broker Stephen Thomas Hurtuk for failing to cooperate with an investigation into allegations that he made unsuitable recommendations to customers in ...
Continue reading "Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation" »
127 results found. Viewing page 1 of 6. Go to page 1 2 3 4 5 6   Next
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