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Michael S. Edmiston
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April 03, 2020
The Securities-Based Loan Margin Call Is "Exactly The Risk We Are Focused On," Says FINRA
June 18, 2019
Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client
March 26, 2019
Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study
March 19, 2019
Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients
October 11, 2018
Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers
September 11, 2018
HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation
January 10, 2023
Western International Securities' Efrain Trujillo Suspended by FINRA for Unauthorized Loans
October 21, 2022
Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers
July 27, 2022
David Hixon Sanctioned Over Improper Money Borrowing, Loans
May 27, 2022
Tarik Nehmatullah Barred After Allegedly Accepting Loan from Customer
September 20, 2021
Ex-LPL Financial, APW Capital's Paul Furusho Barred After Loan Investigation
May 19, 2021
Hung Sam Cited for Borrowing From Wells Fargo Customer Without Authorization
February 10, 2021
My Financial Girlfriend CEO Lisa Brumm Sanctioned for Unsuitable Variable Annuity Recommendations
November 03, 2020
LPL Financial's Timothy Engelmann Sanctioned for Unauthorized Loan Through LLC
March 25, 2020
Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
January 30, 2020
Kerry Wills Sanctioned for Borrowing $150k, Accepting Luxury "Travel Gifts" From Elderly Customer
October 16, 2019
Broker John Charles Wyshak Ordered to Pay Nearly $1 Million Over Churning Allegations at Raymond James
September 17, 2019
JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
August 21, 2019
FINRA Sanctions SoCal Brokers for Failing to Cooperate with Investigations
April 10, 2018
Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
March 22, 2018
Phillip Tibbetts Fined & Suspended for Accepting Unauthorized Loan from Customer
January 25, 2018
Ameriprise's Lorene Fairbanks Sanctioned for Unauthorized Loan from Customer, Violative Text Messages
December 27, 2017
NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
November 05, 2017
First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions
September 22, 2017
Arbitration Panel Orders Barred Broker Li-Lin Hsu, Ameriprise Financial to Pay $675,000 for Alleged Misrepresentation and Misappropriation of Customer Funds
September 18, 2017
"Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation
July 21, 2017
AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client
July 07, 2017
Jaime Aguilar Suspended for Unauthorized Loans from Customers
June 30, 2017
Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy
June 27, 2017
Former LPL Financial (Fresno) Broker Todd Pilosi Punished for Borrowing Money From Client
April 13, 2017
Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud
September 13, 2016
Ex-LPL Broker Cheryl Kerber Fined & Suspended for False Statements About a Loan
August 10, 2016
Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse
May 19, 2016
Thrivent's Miguel Hernandez Barred for Defrauding Elderly Church-Going Client
May 08, 2015
Raymond Daniel Schmidt Barred After Borrowing $2.25 Million from LPL Financial Clients
March 26, 2015
Loreta Salinas Nelson Fined & Suspended for Serving as Co-Trustee for 100-year-old Client Without Firm Permission
November 16, 2014
NASAA Names Top 9 Investor Threats for 2015
November 07, 2014
Kent George Lehman Barred for Improperly Borrowing From Customers, Failure to Cooperate
May 14, 2014
Broker Matthew Trulli Suspended for Illicit Borrowing of Nearly $200k in Customer Funds
November 03, 2013
Mass. Fines Merrill Lynch $500K for Failing to Stop Broker Misconduct
October 15, 2013
SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
July 22, 2013
John Thornes Barred for Stealing $4.2 Million from Elderly Alzheimer's, Scholarship Accounts
July 15, 2013
Frank John Tarazon Fined & Suspended for Improper Borrowing from Elderly Customer
May 31, 2013
Merle Gene Walter Barred for Failure to Disclose Unethical Misconduct, Civil Judgments, Tax Lien
May 28, 2013
David Lloyd Barber Fined and Suspended for Improper Loans, Concealment from Firm
May 18, 2013
Greg John Campbell Barred in $2+ Million Misappropriation Scheme
March 28, 2013
Jon Herbert Green Suspended For Failure to Repay Elderly Customer's Loan in Timely Manner
March 24, 2013
Michael Mendenhall Barred for Borrowing from Elderly Customers, Untruthful Reply to FINRA Inquiry
December 30, 2012
Take Charge Financial, Inc., Joan Anne Perry Expelled & Barred for Unauthorized Transfers, Failure to Report Complaints, Inappropriate Borrowing of Customer Funds
September 08, 2012
FINRA Suspends David Waldemar Asplund Jr. for Borrowing $50K from Customers
August 16, 2012
FINRA Bars Edward Allen Mantanona and Orders Restitution
