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May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
April 28, 2021 Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
June 26, 2019 Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements
April 01, 2019 Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
November 14, 2018 Michael Scott Livermore Sanctioned for Failing to Report Felonies
October 15, 2018 Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial
September 21, 2018 FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License
September 17, 2018 Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
January 14, 2022 Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers
October 19, 2021 Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages
February 11, 2021 FINRA Fines Triad Advisors $150,000 Over Poor Mutual Fund & Variable Annuity Switches That Resulted in Customer Losses
January 27, 2021 George Magladry Suspended for Failing to Disclose Felony Charges
December 11, 2020 California's Infinity Financial Services Fined $35k Over Inadequate Background Checks of Brokers, Failing to Obtain Industry Approvals
October 05, 2020 Kathleen Bott Barred After Investigation Into Theft Charges
May 07, 2020 Western International Securities Failed to Disclose Brokers' Financial Events Totaling $5.6 Million, Says FINRA
October 24, 2019 JP Morgan Fined $1.1 Million for Failing to Tell FINRA About 89 Broker Misconduct Allegations
October 04, 2019 James Lamont Sanctioned for Selling $1.5 Million of Notes in Fraudulent Woodbridge Ponzi Scheme
September 23, 2019 Clay G Erickson Sanctioned in $5 Million-Worth of Unauthorized VA Transactions
September 17, 2019 JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
September 11, 2019 FINRA Cites First Financial Equity's Compliance Officer, Melissa Strouse, for Failing to Disclose 67 Broker Liens, Judgments & Financial Events
August 26, 2019 Ex-Cetera Broker Merhoff Racking Up Complaints After FINRA Bar
July 30, 2019 NBC Securities' Brian DiJulio Cited for Unauthorized Short-Term Discretionary Trades
July 02, 2018 Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
April 03, 2018 In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation
March 28, 2018 SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme
February 13, 2018 Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck
January 31, 2018 FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
January 25, 2018 Ameriprise's Lorene Fairbanks Sanctioned for Unauthorized Loan from Customer, Violative Text Messages
January 16, 2018 FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin
November 13, 2017 Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading
November 10, 2017 Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints
October 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
October 23, 2017 Bae Keun Yu Suspended for Undisclosed Outside Securities Business
October 20, 2017 Ex-Newport Coast Securities Broker George Dahl Barred in 15th Disclosure
September 19, 2017 With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended
September 18, 2017 "Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation
September 15, 2017 Ex-JP Morgan Securities Rep Todd Jason Jones Sanctioned for Unauthorized Trading in Complex ETN
July 18, 2017 David Gott Sanctioned by FINRA for Selling Interests in "Gott Ice Cream, LLC"
July 14, 2017 Robert Tweed Named in False & Misleading Private Placement Memorandum Complaint, Fraud Investigation
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
April 24, 2017 John Olinghouse Sanctioned for Falsifying Documents, Settling Elder Diminished Capacity Customer's Complaint Away from Firm
January 24, 2017 Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints
December 02, 2016 MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
November 07, 2016 Tracy Turner's 35th Disclosure is Complaint Alleging $4.1 Million Private Securities Misconduct
July 29, 2016 Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm
July 11, 2016 Update: Winston Turner Barred for Variable Annuity Fraud and/or Deception
June 29, 2016 Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
June 15, 2016 Former CCO Allen Holeman the Latest Oppenheimer & Co. Broker in Trouble with FINRA
June 09, 2016 Shannon Rowland Barred for Converting Funds for Personal Use
March 07, 2016 FINRA Fines RBC Capital $300k for Failing to Disclose Reps' Unsatisfied Liens and Judgments
March 06, 2016 Bahram Mirhashemi Barred for Churning, Excessive Trading & Unsuitable Sales to Elderly Clients Resulting in Losses
March 02, 2016 7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers
October 01, 2015 FINRA Fines, Suspends Todd Shanholtzer for Mishandling, Misusing $58k of Customer Funds in Variable Annuity Product
September 24, 2015 FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
September 22, 2015 FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct
August 11, 2015 Gehrin Michael Ortiz Barred After Investigation into Material Disclosure Violations and Omissions
July 07, 2015 FINRA Board Candidate Brian Kovack Says He'll Represent Firms, Not Investors
July 01, 2015 Misappropriation Nets Broker Roderick Yzaguirre 10 Disclosures in 2 Months, Over $3.3 Million in Damages
June 11, 2015 Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment
March 27, 2015 Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton
March 13, 2015 With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz
March 11, 2015 FINRA Censures and Fines UBS $500,000 for Failing to Disclose Broker Issues to Regulators
January 16, 2015 Merrill Lynch Fined $175k for Failing to Timely Report Complaints of Defrauding Adviser Who Escaped to LPL
December 29, 2014 To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports
September 26, 2014 2014's 12 Worst Financial Advisors List Features Ponzi Schemes, Scams and Frauds
August 14, 2014 Ex-Wells Fargo Broker, Michael James Frew, Barred for Failure to Cooperate with Investigation into Alleged Conversion of Funds and Ponzi Scheme
June 12, 2014 At IAA Financial, 84% of Brokers Came from Expelled Firms, 54% with Previous Disclosure Records
April 25, 2014 Background Checks for Brokers Newest Requirement for FINRA-Member Firms
April 17, 2014 Study: Brokers Who Fail Basic Securities Exams Have More BrokerCheck Black Marks, Disclosures
April 01, 2014 NY Firm Meyers Associates: A Standout Broker-Dealer Full of Black-Mark Reps with Disclosures
January 03, 2014 FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
November 13, 2013 FINRA Enhances BrokerCheck System, Makes Advisers' IAPD Reports Available
October 23, 2013 Study: FINRA Grants Expungement to Most Brokers in Arbitration; FINRA Responds
October 05, 2013 Over 5,000 Brokers from Barred Firms, Many Accused of Fraud, Still Selling Securities
September 18, 2013 Private Placement Offerings Require Research and Contemplation of Risk
June 27, 2013 SEC Approves FINRA Request to Publish Detailed Disciplinary Complaints and Decisions
September 24, 2012 Merrill Lynch Fined $500,000 for Failure to File Required Reports with FINRA
September 20, 2012 SEC Charges Broker with Stealing to Pay Personal Expenses, Investors, Many from Santa Monica, Lose $600,000 in Ponzi Scheme
September 13, 2012 Terminated Morgan Stanley Risk Officer Claims Retaliatiory Firing for Whistleblowing

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