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Recent Posts in First Allied Securities Category

Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies

FINRA fined and suspended Michael Eugene Heath, formerly of First Allied Securities of Ladera Ranch, California, for using an unapproved, personal e-mail account to communicate with customers about ...
Continue reading "Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies" »

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" »

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" »

SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints

A Securities Litigation & Consulting Group (SLCG) study ranked brokerage firms based on broker complaint history, finding that nearly one quarter of all brokers employed by Aegis Capital Corp and ...
Continue reading "SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints" »

"Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation

John Kaleihiehie Kai, formerly of First Allied Securities' Hilo, Hawaii branch, and who once challenged potential clients to Google him before investing, has himself received a permanent bar from ...
Continue reading ""Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation" »

Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints

FINRA fined Citizens Securities, Inc. $300,000 for disclosure failures related to customer complaints and other reportable events concerning its registered representatives, and for failing to ...
Continue reading "Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints" »

FINRA Sanctions Davood Kohan for Improperly Settling Complaint Away from Firm

FINRA fined and suspended Davood Kohan (aka Kohanzadeh) for settling a customer complaint without notifying his firm, First Allied Securities of San Francisco, of the dispute or proposed settlement, ...
Continue reading "FINRA Sanctions Davood Kohan for Improperly Settling Complaint Away from Firm" »
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