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Recent Posts in Forgery Category

42 results found. Viewing page 1 of 2. Go to page 1 2   Next

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" »

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" »

SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme

Claiming that former LPL Financial broker Sonya Delora Camarco aka Sonya D Fatchett of the firm's Colorado Springs branch stole several millions of dollars from clients during a 13-year fraud ...
Continue reading "SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme" »

Say Nie Sam Sanctioned for Falsifying Wire Transfer Forms

FINRA fined and suspended broker Say Nie Sam, formerly of Wells Fargo Clearing Services (San Mateo, CA) and Morgan Stanley (Menlo Park, CA) for falsifying five wire transfer forms by placing ...
Continue reading "Say Nie Sam Sanctioned for Falsifying Wire Transfer Forms" »

Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker

FINRA barred former Lincoln Financial Advisors Corporation and Accelerated Capital Group (Irvine, CA) broker Jason Michael Belajack for creating fictitious letters on firm letterhead to cover up the ...
Continue reading "Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker" »

Sammy Legaspi Sanctioned for Using, Photocopying Pre-Signed Signed Blank Forms

FINRA fined and suspended former Accelerated Capital Group (Irvine, CA) broker Sam Dexter Legaspi for maintaining a repository of blank forms in his office, which contained pre-filled customer ...
Continue reading "Sammy Legaspi Sanctioned for Using, Photocopying Pre-Signed Signed Blank Forms" »

Ex-Red Ridge Securities CEO Brent Hurt Sanctioned for Failing to Supervise Broker in $1 Million Misappropriation Scheme

FINRA suspended former Red Ridge Securities CEO and Chief Compliance Officer Brent David Hurt for failing to supervise broker Eric William Johnson, whom FINRA barred for misappropriating over $1 ...
Continue reading "Ex-Red Ridge Securities CEO Brent Hurt Sanctioned for Failing to Supervise Broker in $1 Million Misappropriation Scheme" »

Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades

FINRA barred former Morgan Stanley Smith Barney broker John Batista Bocchino for hiding $190 million in Venezuelan bond trades from the firm by directing the trades through several nominee accounts ...
Continue reading "Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades" »

Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme

SEC officials charged former LPL Financial broker Thomas Edward Andrews of California with defrauding 23 investors by convincing them through lofty promises of high returns to liquidate their ...
Continue reading "Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme" »

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" »

Vincent Payne Suspended for Forgery, Falsifying Customer Signatures

FINRA suspended former Farmers Financial Solutions of Woodland, CA rep Vincent Bee Payne for falsifying multiple customers' signatures on firm documents without any of the customers' consent ...
Continue reading "Vincent Payne Suspended for Forgery, Falsifying Customer Signatures" »

Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities

FINRA fined and suspended former Questar Capital Corporation (Westminster, CA) and Client One Securities (Garden Grove) broker Tommy Huy Mai for allegedly forging or causing forgery of at least 19 ...
Continue reading "Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities" »

Gregory Bauer Barred After Forgery Leads to $400,000 in Unauthorized Withdrawals

FINRA barred former Waddell & Reed Inc. broker Gregory Russel Bauer for making a series of unauthorized withdrawals and causing unauthorized liquidations of securities from his parents, who were ...
Continue reading "Gregory Bauer Barred After Forgery Leads to $400,000 in Unauthorized Withdrawals" »

Mauneel Desai Sanctioned for Opening New Accounts with Fake Information and Without Permission

FINRA fined and suspended Mauneel Desai, formerly of Edward Jones in Irvine, California, for creating new accounts using fake information for customers who had not agreed to open accounts with the ...
Continue reading "Mauneel Desai Sanctioned for Opening New Accounts with Fake Information and Without Permission" »

Prudential Annuities Fined $950k for Failing to Prevent Theft of $1.3 Million From Elderly Client's VA

FINRA fined Prudential Annuities Distributors, Inc. $950,000 for failing to stop a $1.3 million theft from an elderly customer's variable annuity (VA) account. In its decision, FINRA wrote that ...
Continue reading "Prudential Annuities Fined $950k for Failing to Prevent Theft of $1.3 Million From Elderly Client's VA" »

Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses

FINRA fined former Newport Coast Securities and JP Turner & Company (both branches in Palm Springs, CA) broker Leonard Allen Goldberg for using discretion without authorization in 300 unsuitable ...
Continue reading "Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses" »

Former MetLife & Prudential Broker Winston Turner Accused of Variable Annuity Fraud and/or Deception

FINRA filed a complaint against former MetLife Inc. and Pruco Securities broker Winston Wade Turner, accusing Turner of employing "a device, scheme or artifice to defraud" by inducing ...
Continue reading "Former MetLife & Prudential Broker Winston Turner Accused of Variable Annuity Fraud and/or Deception" »

Dean Michael Yurica Fined, Suspended for Falsifying Customer Documents, Re-Using Signatures

FINRA suspended Dean Michael Yurica, formerly of Sacramento's LPL Financial office, for falsifying over 100 customer account documents in contravention of firm procedures. FINRA also fined Yurica ...
Continue reading "Dean Michael Yurica Fined, Suspended for Falsifying Customer Documents, Re-Using Signatures" »

Marisa Nicole Pickar Suspended for Falsifying Documents, Reusing Customer Signatures

FINRA fined and suspended former Irvine-branch Wells Fargo broker Marisa Nicole Pickar for falsifying documents related to customer accounts without her customers' knowledge or authorization. ...
Continue reading "Marisa Nicole Pickar Suspended for Falsifying Documents, Reusing Customer Signatures" »

La Mesa's Robert Earl Holaday Accused of Forging Customer Signatures

A FINRA OHO Hearing Panel found that former Royal Alliance Associates and Centaurus Financial advisor Robert Earl Holaday of La Mesa, California forged or caused the forgery of customer signatures on ...
Continue reading "La Mesa's Robert Earl Holaday Accused of Forging Customer Signatures" »

Bruce R Geiger Fined & Suspended for Falsifying Annuity and Life Insurance Forms Causing $500k in Withdrawals

FINRA suspended former Thrivent Investment Management, Inc. broker Bruce R Geiger of Visalia, California for falsifying over 100 forms, subsequently causing the inappropriate disbursement of client ...
Continue reading "Bruce R Geiger Fined & Suspended for Falsifying Annuity and Life Insurance Forms Causing $500k in Withdrawals" »

Heedo "Joshua" Han Barred for Failure to Cooperate with Investigation into Forgery Case

FINRA barred former NYLife Securities rep Heedo "Joshua" Han out of the firm's Los Angeles branch as the result of an investigation into Han's insurance business and a complaint ...
Continue reading "Heedo "Joshua" Han Barred for Failure to Cooperate with Investigation into Forgery Case" »

James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme

The US District Court for the Southern District of California sentenced former La Jolla broker James Yiu Lee to 6.5 years in prison and ordered restitution in excess of $10.5 million for losses ...
Continue reading "James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme" »

Former JPMorgan Broker Michael Oppenheim Charged for Stealing $20 Million from Clients

FBI officials charged former JPMorgan Chase & Co. banker Michael Jeffrey Oppenheim with stealing $20 million from customers at JP Morgan in a fraudulent scheme prosecutors allege bilked eager ...
Continue reading "Former JPMorgan Broker Michael Oppenheim Charged for Stealing $20 Million from Clients" »

Under FINRA Investigation for Duping Elderly Investors, Broker Richard Ohrn Fakes Disappearance at Sea

Former Chase Investment Services and Wells Fargo Advisors broker Richard Ohrn admitted to faking his own disappearance in the midst of a FINRA investigation alleging thefts from two elderly JP Morgan ...
Continue reading "Under FINRA Investigation for Duping Elderly Investors, Broker Richard Ohrn Fakes Disappearance at Sea" »
42 results found. Viewing page 1 of 2. Go to page 1 2   Next
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