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Recent Posts in JP Turner Category

James and Lorraine Conaway Sanctioned for Real Estate Outside Business Activity Violations, Disclose Failures

FINRA fined and suspended James "Jim" Otis Conaway and Lorraine Annette Campbell Conaway aka Lorraine Annette Espinoza for violations related to Tycon Properties, a real estate company the ...
Continue reading "James and Lorraine Conaway Sanctioned for Real Estate Outside Business Activity Violations, Disclose Failures" »

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" »

SEC Bars of Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos for Churning

The SEC permanently barred JP Turner & Co. brokers Ralph Christopher Calabro, Jason Ivan Konner, and Dimitrios Koutsoubos for willfully churning customer accounts and ordered fines and ...
Continue reading "SEC Bars of Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos for Churning" »

Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges

FINRA sanctioned six broker-dealers a combined $740,900—which includes fines and restitution—for failing to apply discounts to eligible customer purchases of non-traded real estate ...
Continue reading "Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges" »

Solicited Leveraged ETF Tickets Marked as Unsolicited is Risky Business

When a broker sells a leveraged exchange traded fund ("ETF") to a customer, the sale is marked as either solicited or unsolicited. A solicited sale is one that is advertised or recommended ...
Continue reading "Solicited Leveraged ETF Tickets Marked as Unsolicited is Risky Business" »

Brian Matt Borakowski, George Alexander Kardaras Barred for Promissory Notes Ponzi Scheme Fraud

FINRA barred former J.P. Turner & Company LLC registered principals Brian Matt Borakowski and George Alexander Kardaras after finding they engaged in securities fraud and defrauded investors ...
Continue reading "Brian Matt Borakowski, George Alexander Kardaras Barred for Promissory Notes Ponzi Scheme Fraud" »

Sean Francis Sheridan Barred for Recommending Only Funds that Yielded Higher Commissions

FINRA barred former JP Turner & Company LLC broker Sean Francis Sheridan for allegedly recommending several hundreds of unsuitable mutual fund switch transactions in multiple customer accounts. ...
Continue reading "Sean Francis Sheridan Barred for Recommending Only Funds that Yielded Higher Commissions" »
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