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Recent Posts in Conversion Category

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

Sarah Banon Barred for Failing to Cooperate with Investigation

Broker Sarah Leanne Banon, formerly with JP Morgan Securities in Pacific Grove, California, refused to appear for on-the-record testimony with FINRA in connection into allegations that she ...
Continue reading "Sarah Banon Barred for Failing to Cooperate with Investigation" »

Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations

FINRA barred former Mutual of Omaha financial adviser Edward Earl "Ed" Matthes after he failed to cooperate with an investigation into allegations he misappropriated funds from clients and ...
Continue reading "Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations" »

Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients

Finding that Southern California investment adviser Craig Arsenault defrauded customers while associated with Atlas Capital Management, SEC staff barred Arsenault, writing that Arsenault committed his ...
Continue reading "Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients" »

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" »

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" »

Robert Basile Arrested, Barred For Stealing $130,000 from Elderly Client-His Mother

After Chino, California police arrested Robert Lee Basile for stealing $130,000 from his elderly mother's brokerage account, FINRA barred the former Waddell & Reed and Park Avenue Securities ...
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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" »

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" »

SEC Issues Ameriprise Financial Cease-and-Desist Order over Failure to Detect Misappropriation and Fraud

The Securities and Exchange Commission instituted cease-and-desist proceedings against Ameriprise Financial Services, finding that the firm failed to adopt and implement policies and procedures to ...
Continue reading "SEC Issues Ameriprise Financial Cease-and-Desist Order over Failure to Detect Misappropriation and Fraud" »

Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds

FINRA fined Cetera Financial Specialists $200,000 for supervisory deficiencies concerning its broker Alex P Anderson, whom FINRA previously barred for purportedly abusing his Power of Attorney ...
Continue reading "Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds" »

LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client

FINRA barred former LPL Financial (Fort Bragg, California) broker Bradley Everett Gardner for converting funds from an elderly client in 2017, purportedly accepting a personal check made payable to ...
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Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation

After former Transamerica Financial Advisors (Covina, California) broker Atiq Urrehman Khan (aka Danial Khan) of Gardena, CA allegedly solicited firm customers to purchase "general securities ...
Continue reading "Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation" »

Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients

FINRA barred former CUNA Brokerage Services representative Stacy Elizabeth Cheney-Jamison, aka Stacy Edwards, Stacy Kuczynski, and Stacy Sang, for failing to cooperate with investigators during an ...
Continue reading "Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients" »

John Douglas Wade Barred for Converting $100k from Bancorp Customers

FINRA barred John Douglas Wade of Buena Park, CA for converting more than $100,000 from two elderly clients at US Bancorp Investments, Inc., where Wade served as a broker from 2011 until his ...
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Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts

The State of Arizona indicted former AXA Advisors, LLC broker Howard Milton Price III, charging him with three felonies, including fraud and theft, for allegedly stealing $475,000 from the IRA ...
Continue reading "Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts" »

Leona Parsons Barred After Investigation into Improper Withdrawals, Withholding Money from Client

FINRA barred former JP Morgan Securities representative Leona Lynn Parsons of the firm's Imperial Beach, California branch after she refused to cooperate with an industry investigation into the ...
Continue reading "Leona Parsons Barred After Investigation into Improper Withdrawals, Withholding Money from Client" »

James Edward Knee Barred, Arrested for Theft from Elderly Client

Two months after his arrest for stealing from an elderly investor, FINRA barred former Ameriprise Financial Services and Voya Financial Advisors broker James "Jim" Edward Knee following an ...
Continue reading "James Edward Knee Barred, Arrested for Theft from Elderly Client" »

DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers

Former Royal Alliance Associates broker Gary John Basralian, barred from the securities industry in March 2018, faces criminal charges including wire fraud and investment adviser fraud for allegedly ...
Continue reading "DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers" »

SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills

The SEC instituted administrative proceedings ordering former WealthCFO operations manager Lauramarie Colangelo barred from the securities industry in relation to an action against WealthCFO, LLC and ...
Continue reading "SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills" »

FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients

FBI agents arrested former Ameriprise Financial Services representative Li Lin Hsu of Diamond Bar, California and charged her with mail fraud, wire fraud, obstruction of justice, and money laundering. ...
Continue reading "FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients" »

Dallas York Barred for Refusing to Cooperate with Investigation into Unauthorized Withdrawal of Customer Funds

FINRA barred former Wells Fargo Clearing Services broker Dallas Richardson York of Arizona after he failed to provide requested information and documents to FINRA during the course of an investigation ...
Continue reading "Dallas York Barred for Refusing to Cooperate with Investigation into Unauthorized Withdrawal of Customer Funds" »

Laura Ortega Shean Barred for Converting $124,000 in Client Funds to Pay Personal Tax Bills

FINRA barred former LPL Financial principal Laura Ortega Shean aka Laura Ortega Provost of Medford, Oregon, after finding that she converted $124,000 in customer funds to pay her personal tax bills. ...
Continue reading "Laura Ortega Shean Barred for Converting $124,000 in Client Funds to Pay Personal Tax Bills" »

Merrill Lynch Fires Christopher Hibbard after Investigation Uncovers Alleged Theft

Merrill Lynch terminated broker Christopher Lee Hibbard following a customer complaint alleging unauthorized transactions and theft related to variable annuities and money market funds. According to ...
Continue reading "Merrill Lynch Fires Christopher Hibbard after Investigation Uncovers Alleged Theft" »

JP Morgan's Farid Morim Barred After Conversion Investigation

FINRA barred Farid Morim, formerly Vice President of JP Morgan's Beverly Hills, California branch, after a lengthy investigation into allegations that Morim converted customer assets and engaged ...
Continue reading "JP Morgan's Farid Morim Barred After Conversion Investigation" »

FINRA Bars Matthew Kerby After Allegations He Converted Elderly Client's Funds for Personal Use

Two months after Edward Jones discharged broker Matthew Donald Kerby for misusing client funds for his own benefit, FINRA permanently barred Kerby from the financial industry for refusing to cooperate ...
Continue reading "FINRA Bars Matthew Kerby After Allegations He Converted Elderly Client's Funds for Personal Use" »
120 results found. Viewing page 1 of 5. Go to page 1 2 3 4 5   Next
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