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October 20, 2021
Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
June 17, 2019
Barred San Diego Broker Harry Couglar Suspended by CFP Board
June 14, 2019
Cryptocurrency Business Places Kyung Soo Kim in Hot Water
May 07, 2019
Michael ("Mikey") Tanha Cited for Outside Business Activities, Private Securities Transactions
May 03, 2019
Jamie Bennett Sanctioned for Failing to Review E-mails, Use of Outside E-mail Address
March 19, 2019
Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients
March 15, 2019
NAC Affirms Amerprise Broker Jim Jinkook Seol's EB-5 Private Securities Transactions and Outside Business Activities Bar
February 25, 2019
John Spach Barred for Trying to Settle Complaint Away from Firm
January 23, 2019
FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
November 29, 2018
Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme
November 27, 2018
Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity
November 23, 2018
San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
October 11, 2018
Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers
August 01, 2018
Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions
July 11, 2018
Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds
July 05, 2018
Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm
December 22, 2022
FINRA Bars PFS Vice President Desiderio Torrez After Customer Complaint
December 15, 2022
Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
December 13, 2022
LPL Financial Fined $150k, Admonished for Failing to Supervise Broker Involved in Ponzi Scheme
November 22, 2022
Edward Turley Barred After Settling Suitability and Fraud Claims Worth $47 Million
July 20, 2022
Roselaine Securities Disciplined for Failing to Supervise or Identify Staff Engaged in Outside Business Activities, Failing to Act on US Government's Financial Crimes Enforcement Network Requests
July 05, 2022
Gregory Andrews Sanctioned for Undisclosed Outside Business Activities
May 09, 2022
LPL Financial Broker Bruce Amman Cited for Transacting $3.5 Million Private Placement Without LPL Approval
April 01, 2022
TCFG Wealth Broker David McDonnell Barred in Outside Business Activity Investigation
March 23, 2022
Michael Knittel Suspended for Undisclosed Private Securities Transaction
March 16, 2022
Gregory Scott Hanshew Accused of Disclosure, Sales Violations with Elder Investors
February 10, 2022
Morgan Stanley Broker Darryl Cohen, Broker to Pro Athletes, Barred After Millions in Claims
December 22, 2021
American Portfolios Financial Services Cited After Assistant Kimberly Sredich's Theft from Clients & Rep Mark Hopkins' Misappropriation, $1 Million SEC Case
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
April 26, 2021
FINRA Bars John Lee Scott of LPL Financial (Phoenix) During Outside Business Activity nad Private Securities Transaction Investigation
March 18, 2021
Whitehall-Parker Securities, Robert James Yuloo Cited for Failing to Supervise Broker Who Sold Fraudulent Woodbridge Ponzi Scheme Products
March 12, 2021
FINRA Cites Jeffrey Stanga for Failing to Fully Disclose Outside Business Activity, and Engaging Private Securities Transactions
February 27, 2021
Scott Hansen Sanctioned for Unapproved Will and Trust for Elderly Customer, Threatening Family After Client's Death
January 31, 2021
Broker San Nicolas Barred Over Recommendation to Purchase Las Vegas Raiders Seats
November 10, 2020
Vonna Kay Husby Barred During Investigation into Undisclosed Bank Account Co-Owned With Elderly Customer
October 28, 2020
David Walters Cited for Outside Business, Private Securities Transactions
October 12, 2020
Stephen Whittaker Cited for Undisclosed Outside Business Activity
September 01, 2020
LPL Financial's James Rapisarda Cited for Private Securities Transaction
August 24, 2020
FINRA Bars Terminated Brokers Lau, Winters, for Failing to Provide Information
August 13, 2020
Ex-First Allied Broker Kimberly Barensten Cited for Charging Undisclosed VA Fees
June 20, 2020
E-mail Communication Failures - What a Terminated CEO, WhatsApp Broker, Woodbridge & FIP Have in Common
May 15, 2020
Ameriprise Broker Arthur Hoffman Barred Following Fraud Complaint, Investigation
April 06, 2020
Accurate Record Keeping & Supervision Vital as FINRA Temporarily Lifts Rules, SEC Suspends In-Person Exams During Pandemic
March 23, 2020
FINRA Sanctions Scott Kozak for Soliciting $1.2 Million Away from Firm Cetera, False Statements
November 08, 2019
Cetera's Christopher Kozak Suspended for Undisclosed Outside Business Activity with Nutrition Bar Investments
October 25, 2019
Environmental Lawyers' Warning of Conservation Easement Investments, Penalties for Abuse of Federal Tax Code
July 22, 2019
FINRA Disciplines LPL Financial's Eric Savell Over Undisclosed Outside Business Activity
July 10, 2019
Raymond James Compliance Officer Barred for Falsifying Data
February 04, 2019
FINRA Charges Raymond James Compliance Officer with Falsifying Reports to Prevent OBA Audit Follow-Up
June 29, 2018
Brian Sung Hyun Sanctioned for Undisclosed Marijuana Consulting Outside Business Activities
June 04, 2018
FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity
May 07, 2018
Joseph Pratte Barred After Outside Business Activities Investigation
May 02, 2018
James and Lorraine Conaway Sanctioned for Real Estate Outside Business Activity Violations, Disclose Failures
April 30, 2018
Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name
April 26, 2018
OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final
April 16, 2018
Kevin J Lee Barred Following Investigation into Undisclosed Business Activity
April 03, 2018
In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation
January 30, 2018
JP Morgan's Farid Morim Barred After Conversion Investigation
January 26, 2018
Joseph Farah Barred for Unsuitable and Excessive Trading, Undisclosed Outside Business Activity, and Misrepresentations
January 16, 2018
Punished by California Bureau of Real Estate, Guillermo Valladolid Barred for Undisclosed Outside Business Activity
November 20, 2017
FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity
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
October 04, 2017
Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns
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
September 08, 2017
William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss
September 07, 2017
Colorado Broker Bruce Page Barber Barred in Outside Business Activity Investigation
August 25, 2017
OHO Issues Decision Barring Jim Jinkook Seol over Undisclosed EB-5 Business
August 09, 2017
Howard Hull Fined & Suspended for Firm's Supervisory Failures
August 07, 2017
Ex-LPL Financial Broker Stanley Scott Garrison Cited for Undisclosed Business, False Compliance Questionnaires
July 18, 2017
David Gott Sanctioned by FINRA for Selling Interests in "Gott Ice Cream, LLC"
June 13, 2017
Christopher M. Hawn Fined & Suspended for Unauthorized Private Securities Transactions & Undisclosed Outside Business Activities
June 09, 2017
FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
June 08, 2017
Ameriprise (Irvine)'s Jim Seol Barred for 'Egregious' Selling Away of $100 Million Private Placements for Immigration's EB-5 Program
June 01, 2017
Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades
May 31, 2017
FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations
May 17, 2017
Andrew Logullo Sanctioned for Selling Away, Undisclosed Outside Business, and Improper Use of Discretion Trading Penny Stocks
May 04, 2017
FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse
February 07, 2017
James Calder Sanctioned for Unauthorized Outside Business Activity
December 02, 2016
MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
October 25, 2016
Anthony Lombardi Fined and Suspended for Failing to Disclose Outside Insurance Business Activity
July 28, 2016
James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment
July 27, 2016
FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation
July 11, 2016
Update: Winston Turner Barred for Variable Annuity Fraud and/or Deception
June 16, 2016
Robert Myers Fined $20k, Suspended for Disputed VA Fees Classified as Unapproved Outside Business Compensation
June 06, 2016
Daniel Miller Fined, Suspended for Undisclosed Outside Real Estate, Private Securities Transactions
June 01, 2016
FINRA Charges Jim Seol with Unauthorized WRCI, EB-5 Immigration Outside Business Activity
May 13, 2016
Robert Kerrigan Investigated for Undisclosed USA Barcelona Outside Business Facing Fraud Charge, Barred for Refusal to Cooperate
May 09, 2016
Robert Turpin Barred for Failing to Cooperate with Selling Away Investigation
March 31, 2016
Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures
March 02, 2016
Former MetLife & Prudential Broker Winston Turner Accused of Variable Annuity Fraud and/or Deception
March 01, 2016
Goldman Sachs Places Luke Thornburn on Leave for Unapproved Outside Business Activity
January 19, 2016
Former LPL Broker Timothy Richard Yee Fined & Suspended for Unapproved Outside Transactions
January 09, 2016
Michael Nahass Fined & Suspended for Undisclosed Outside Business, False Representations
November 24, 2015
Joseph Holzhause Barred for False and Misleading Letter, Undisclosed Business Activity
August 31, 2015
CFP Board Suspends Broker Michael T. Ryan of Santa Ana for Unauthorized Outside Business Activities
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
March 24, 2015
Artak Daldumyan Fined & Suspended for Unapproved Outside Business Activities
March 07, 2015
FINRA Bars Broker Michael Korson for Misusing Investor Funds from an Undeclared Outside Business Activity
February 28, 2015
Former LPL Broker James Rosebrough Fined & Suspended for Undisclosed Outside Business Activity
February 17, 2015
Foothill Securities, CCO Stephen Shipp Fined $235k for Inadequate Policies, Systems and Procedures
February 06, 2015
FINRA Punishes JP Morgan's Gary R. Dennis for Outside Business Activity, and Shannon S. Hampton for Check Kiting
January 19, 2015
Kevin Luby Fined $25k, Suspended for Disclosure Failures Related to Elderly Customer's Trust and Estate
January 02, 2015
Sagepoint's Daryl R. Lemon Barred for Margin Abuse, Excess Fees After 1,000+ Transactions in Elderly Client's Discount Brokerage Account
November 26, 2014
Patrick Richard Harrison Barred for Private Securities Transactions That Lost Elderly Clients $340,000
October 14, 2014
Travis Capson, Arnab Sarkar Fined and Suspended for Failing to Disclose Outside Business Activity, Denari Capital LLC
September 18, 2014
Bradley Thomas Badger Fined and Suspended for Undisclosed Outside Trading and Real Estate Business
August 08, 2014
Former LPL Financial's Mehrdad Farhat Fined, Suspended for Undisclosed Outside Business Activity
July 25, 2014
David Paul Diehl Suspended, Fined for Failure to Pay Promissory Note Interest, No Notification to Firm
June 25, 2014
FINRA Bars Dale Herman Stevens for Serving on Hedge Fund Board without Disclosing Financial Interest to Firm
June 23, 2014
Former LPL Financial Broker Joshua Allen Farahi for Unauthorized Outside Business Activity
February 17, 2014
Patrick Joseph Donohue Barred for Prohibited Business Activities with Elderly Clients, False Statements & Unauthorized Wire Transfers
October 15, 2013
SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
September 25, 2013
Jerry Dean McGlothlin Barred for Unauthorized Outside Business Private Securities Activities
August 16, 2013
Christian Joel Brand Suspended for Soliciting $510,000 Investment from Elderly, Unsuitable Customer for Failed Project
June 21, 2013
Steven Robert Aron Barred for Failure to Disclose Information Related to Outside Business Activities
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 20, 2013
Nancy Bolt Hill Fined & Suspended for Allegedly Failing to Disclose Outside Securities Accounts
April 23, 2013
Martin Benjamin Feibish Barred For Scheming to Misappropriate Over $5 Million From Elderly Customer Through Fake Investment Vehicles and Forgery
March 28, 2013
Steven Joseph Corzan Barred for Unapproved Private Securities Transactions of Positions Linked to Ponzi Scheme
March 24, 2013
LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
March 20, 2013
Alberto Neira Barred for Failure to Disclose Outside Business, Investment Sales
February 23, 2013
Broker Gregory Evan Goldstein Fails to Respond to FINRA Requests, Earns Suspension
February 13, 2013
Jeffrey Alan Hutman Fined & Suspended in Relation to Variable Annuity Transactions Outside of Firm
January 28, 2013
After Appeal, Nolan Wayne Moore Barred and Fined for Failure to Cooperate, Allegedly Engaging in Undisclosed Outside Business Activities
October 22, 2012
Stuart L Funke Suspended for Soliciting $500,000 in Loans without Firm Approval
October 09, 2012
Complaint Issued Against John Cherry III Alleging Improper Use, Conversion of Customer Funds
September 08, 2012
FINRA Suspends David Waldemar Asplund Jr. for Borrowing $50K from Customers
August 13, 2012
Douglas Brent Cartwright Fined & Suspended for Soliciting Investments Outside the Scope of His Employing Firm
