Confidentiality

Posts In Confidentiality

John Spach Barred for Trying to Settle Complaint Away from Firm Feb 25
FINRA barred former Kestra Investment Services (Aliso Viejo, CA) broker John William Spach after he ...
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National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct Jul 26
FINRA fined four firms—National Planning Corporation, Investment Centers of America, SII ...
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Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations Mar 14
FINRA fined, suspended, and ordered former ACE Diversified Capital of Los Angeles representative ...
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Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading Nov 13
A FINRA hearing panel barred broker Henry "Hank" Mark Werner for fraudulently churning an account ...
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Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties Aug 03
FINRA fined and suspended Stephen "Steve" Samuel Salm of Securities America's Solana Beach, ...
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E*Trade Securities Censured, Fined $900k for Trade Review & Supervisory Failures, Failure to Ensure Protection of Confidential Info Jun 02
FINRA fined E*Trade Securities, LLC $900,000 and censured the firm for multiple violations related ...
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