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Recent Posts in Municipal Securities Category

Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients

FINRA suspended former Citigroup Global Markets, Merrill Lynch, and Fidelity Brokerage Services rep Mehran Tazhibi aka Ron Tazhibi of Northern California for unsuitably recommending that two retirees ...
Continue reading "Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients" »

Lawson Financial, CEO Robert Lawson Barred for Fraudulent Municipal Bond Sales

FINRA expelled Phoenix-based Lawson Financial Corporation, Inc. and barred President and CEO Robert Warren Lawson for securities fraud in selling millions of dollars of municipal revenue bonds to firm ...
Continue reading "Lawson Financial, CEO Robert Lawson Barred for Fraudulent Municipal Bond Sales" »

Former Wedbush Associate Shiva Naby Fined $25k & Suspended for Falsifying MSRB Documents

The FINRA Office of Hearing Officers suspended former Wedbush Securities associate Shiva Naby of the firm's San Francisco branch and fined her $25,000 for "willfully" falsifying ...
Continue reading "Former Wedbush Associate Shiva Naby Fined $25k & Suspended for Falsifying MSRB Documents" »

Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers

FINRA suspended Purshe Kaplan Sterling Investments broker Larry M. Phillips of Woodland Hills, California and ordered him to pay fines and restitutions totaling over $10,000 for overcharging certain ...
Continue reading "Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers" »

Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds

FINRA fined, suspended and ordered former Edward Jones broker Dalas Lee Gundersen of Willows, California to pay disgorgement for ill-gotten commissions related to an unsuitable investment ...
Continue reading "Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds" »

Gary Allen Cabello Barred for Conspiring to Commit Bribery

On April 13, 2014, FINRA barred Westminster, California broker Gary Allen Cabello formerly registered as a representative with Alta Vista Financial, Inc. and most recently Cabrera Capital Markets, ...
Continue reading "Gary Allen Cabello Barred for Conspiring to Commit Bribery" »

Concentration Risk: The Implications of Putting All Your Eggs in One Basket

Concentration risk occurs when a large portion of a portfolio's holdings is in a particular investment relative to the overall portfolio. This can be caused or perpetuated through: >> ...
Continue reading "Concentration Risk: The Implications of Putting All Your Eggs in One Basket" »

Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000

FINRA fined Oppenheimer & Co., Inc. $675,000 and ordered the firm to pay over $246,000, plus interest, in restitution to customers FINRA says were charged unfair prices due, in part, to the ...
Continue reading "Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000" »
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