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Recent Posts in Waddell & Reed Category

Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents

FINRA fined and suspended former Edward Jones and Waddell & Reed broker Donald Logan for exercising 365 discretionary trades in 42 customer accounts from 2014 through 2018, all without ...
Continue reading "Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents" »

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 Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer

FINRA barred John Stuart Hudnall, formerly of U.S. Bancorp Investments and BancWest Investment Services' San Francisco, California branches, for participating in an undisclosed and unapproved ...
Continue reading "John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer" »

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" »

Joseph Holzhause Barred for False and Misleading Letter, Undisclosed Business Activity

FINRA barred former Waddell & Reed broker Joseph Robert Holzhause for signing and distributing a misleading letter on firm letterhead and for failing to inform Waddell & Reed of an outside ...
Continue reading "Joseph Holzhause Barred for False and Misleading Letter, Undisclosed Business Activity" »

Kelly Ann Willey Barred After Directing Elderly Customer to Write Checks to Her Personally

FINRA barred former Waddell & Reed, Inc. broker Kelly Ann Willey for directing an elderly Waddell & Reed customer to write multiple checks totaling $1,200 to Willey personally. The checks were ...
Continue reading "Kelly Ann Willey Barred After Directing Elderly Customer to Write Checks to Her Personally" »
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