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Recent Posts in Elder Abuse Category

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

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" »

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 ...
Continue reading "Robert Basile Arrested, Barred For Stealing $130,000 from Elderly Client-His Mother" »

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" »

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" »

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for unsuitably recommending that a number of elderly and retiring customers liquidate their 401(k) and ...
Continue reading "Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts" »

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 ...
Continue reading "LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client" »

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 ...
Continue reading "John Douglas Wade Barred for Converting $100k from Bancorp Customers" »

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" »

Wells Fargo Survey Finds Two-Thirds of Financial Crimes Against Elderly Are Committed By Trusted Individuals

Wells Fargo released its 2018 Wells Fargo Elder Needs Survey, finding that although older Americans are targeted for scams because of wealth, isolation, and/or cognitive decline, a vast majority think ...
Continue reading "Wells Fargo Survey Finds Two-Thirds of Financial Crimes Against Elderly Are Committed By Trusted Individuals" »

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" »

Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives

FINRA barred former Ameriprise Financial and Wedbush Securities broker Larry Martin Boggs for excessively and unsuitably trading five elderly customers' accounts while associated with Amerprise of ...
Continue reading "Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives" »

Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account

FINRA fined and suspended Joseph Gunnar & Co. broker and managing director Anthony J Sica for making unsuitable recommendations to an elderly customer living on a fixed income, resulting in an ...
Continue reading "Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account" »

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" »

William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss

FINRA barred William "Bill" August Glaser for failing to cooperate into an investigation surrounding his termination from National Planning Corporation of St. Albans Rd, Missouri. According ...
Continue reading "William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss" »

FINRA NAC Affirms OHO Bar of David Escarcega for Fraudulent Misrepresentations to Elderly Clients in Arizona, California and Washington

The National Adjudicatory Council held and affirmed a FINRA OHO Hearing Panel's 2016 decision finding that former Center Street Securities broker David Joseph Escarcega of Phoenix, Arizona ...
Continue reading "FINRA NAC Affirms OHO Bar of David Escarcega for Fraudulent Misrepresentations to Elderly Clients in Arizona, California and Washington" »

After $2.4 Million Suit Alleging Elder Abuse, FINRA Bars James Schaedler Following $200k Gift Investigation

FINRA barred former Wells Fargo Clearing (Anaheim, CA) representative James Robert Schaedler, Jr. after he failed to cooperate with an investigation into allegations that he inappropriately became the ...
Continue reading "After $2.4 Million Suit Alleging Elder Abuse, FINRA Bars James Schaedler Following $200k Gift Investigation" »

Ex-IFG and Centaurus Broker Calvin Moores Barred After FINRA Investigation, OTC Dispute Alleging Fraud, Complaint Alleging Elder Abuse

FINRA barred former Centaurus Financial Inc. (Fullerton, CA) and Independent Financial Group (Brea, CA) broker Calvin Edward Moores after he failed to cooperate with an investigation into allegations ...
Continue reading "Ex-IFG and Centaurus Broker Calvin Moores Barred After FINRA Investigation, OTC Dispute Alleging Fraud, Complaint Alleging Elder Abuse" »

Kim Dee Isaacson Charged with Fraudulent Misrepresentations, Unauthorized Transactions in Elderly Client's Account

FINRA charged former Morgan Stanley and present Ameriprise Financial broker Kim Dee Isaacson with making fraudulent misrepresentations and omissions of material facts to an elderly client regarding ...
Continue reading "Kim Dee Isaacson Charged with Fraudulent Misrepresentations, Unauthorized Transactions in Elderly Client's Account" »

Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering

After defrauding clients out of $1.1 million by pretending to invest in a real estate investment trust (REIT) and gold coins—including one terminally ill customer whose primary objective was to ...
Continue reading "Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering" »

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" »

John Olinghouse Sanctioned for Falsifying Documents, Settling Elder Diminished Capacity Customer's Complaint Away from Firm

FINRA fined and suspended broker John Edward Olinghouse, formerly of HD Vest and Fortune Financial Services in Sparks, Nevada, for falsifying forms, which he then submitted to HD Vest. FINRA also ...
Continue reading "John Olinghouse Sanctioned for Falsifying Documents, Settling Elder Diminished Capacity Customer's Complaint Away from Firm" »

FINRA Files OHO Complaint Against Berthel Fisher, Jeffrey Dragon over UIT Sales Practices

FINRA filed a complaint against Berthel, Fisher & Co. Financial Services, Inc., and former broker Jeffrey Paul Dragon over unit investment trust (UIT) sales to elderly and unsophisticated ...
Continue reading "FINRA Files OHO Complaint Against Berthel Fisher, Jeffrey Dragon over UIT Sales Practices" »
80 results found. Viewing page 1 of 4. Go to page 1 2 3 4   Next
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