April

Posts in April, 2016

Paul Valencia Fined & Suspended for Discretionary Trading Without Customer or Firm Authorization Apr 29
FINRA suspended Paul Frederick Valencia, formerly of World Equity Group, Inc. in Temecula, ...
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Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes Apr 26
FINRA fined La Vista-based broker-dealer Securities America $250,000 for failing to conduct adequate ...
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Customers Accuse LPL Financial and its Ex-Broker Karl Romero of Misrepresentation, Unsuitable Recommendations Apr 25
Customers of former LPL Financial LLC (Santa Ana, CA) broker Karl Horace Romero have, over the past ...
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Ryan Logan Fined & Suspended for Improperly Changing Client Contact Information, Causing Inaccurate Database Apr 21
FINRA suspended former Northwestern Mutual Investment Services, LLC (Newport Beach, California) ...
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Equinox Securities, Stephen Oliveira & Chris Palkowitsh Barred for Excessive Trading & Churning in Customer Accounts, IRAs Apr 20
FINRA sanctioned Equinox Securities of Redlands, California, and barred brokers Stephen Michael ...
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Greg Taylor Accused of Unethical Conduct Involving 75-Year-Old Widow with Dementia, False Statement to Firm Apr 15
FINRA filed a complaint against former Morgan Stanley Smith Barney broker Gregory Scott Taylor, ...
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