Search Results for: Boca Raton Florida Stockbroker Misconduct Lawyer

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Xavier Patino of Burr Ridge, Illinois submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which Patino was fined and suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly making an unsuitable recommendation and making guarantees against loss in violation of FINRA Rules 2010 and 2150(b). From October 2012 through May 2017, Patino […]

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David Howard Fagenson of Palm Beach Gardens, Florida submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which Fagenson was fined and suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in quantitatively unsuitable trading in the accounts of three seniors. From September 2010 until October 2016, Fagenson was registered with UBS […]

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Kyusun Kim of San Diego, California submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly making unsuitable recommendations in violation of NASD Rules 3110, 2310 and 2110 and FINRA Rules 4511, 2111 and 2010. In February 2006 Kyusun Kim joined Independent […]

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Andrew Jay Lowe of Leesburg, Alabama submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which he was fined and suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly recommending unsuitable trades and failing to timely amend his Uniform Application for Securities Industry Registration or Transfer (“Form U4”). From January 2009 until September […]

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John Huey Neely submitted a Letter of Acceptance Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly exercising discretion in customers’ accounts violating NASD Conduct Rule 2510(b) and FINRA Rule 2010. From August 2009 until September 2018, Neely was registered with Berthel Fisher & […]

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Kevin Edward Looser of Delphos, Ohio submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly participating in private securities transactions in violation of NASD Rule 3040 and FINRA Rule 2010. In September 2005, Kevin Looser joined Sigma Financial Corporation (Sigma) as a General Securities Representative. According […]

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Christopher Todd Wendel submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which he was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly providing false declaration, a false on-the-record testimony, and engaging in private securities transactions all in violation of FINRA Rules 3280, 2010 and 8210. From September 2014 to September 2017, […]

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Terry Lee McCoy of New Port Richey, Florida submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which he was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly failing to supervise his firms’ representatives in violation of NASD Rule 3010, MSRB Rule G-27, and FINRA Rule 2010. In March 1999, Terry McCoy […]

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Bradley Everett Gardner of Fort Bragg, California submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly converting customer funds in violation of FINRA Rules 2150(a) and 2010. In February 2012, Bradley Garner joined LPL Financial LLC as a General Securities Representative. […]

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On July 30 Robert Russel Tweed of Glendale, California appealed an Office of Hearing Officers (OHO) decision to the National Adjudicatory Council (NAC) in which he was fined $50,000 and barred from association with any FINRA member in all capacities for allegedly in violating FINRA Rule 2010 and Sections 17(a)(2) and (3) of the securities […]