Search Results for: Broker Misconduct

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Kevin Robert Loud, of Phoenix Arizona, submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for failing to disclose an outside business and an outstanding tax lien. In July 2012, Kevin Loud joined Silber Bennett Financial Inc. as a General Securities […]

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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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Mitchell Toby Yanow of Boynton Beach, Florida submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which Yanow was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly using a client’s funds in violation of FINRA Rules 2150(a) and 2010. In April 2015, Yanow joined Stifel Nicolaus and Company Inc. as a General […]

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On September 21, 2018 an Officer of Hearing Officers (OHO) decision became final against David Jonathan Bolton in which he was barred from association with any FINRA member in all capacities for violating FINRA Rules 4511 and 2010 and FINRA Rules 2111 and 2010. Bolton joined Thurston, Springer, Miller, Herd & Titak, Inc. (“Thurston”) in […]

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On September 25, 2018 an Officer of Hearing Officers (OHO) decision became final against Matthew Evan Eckstein in which he was barred from association with any FINRA member in all capacities and ordered to pay $961,781 in restitution to four customers. Eckstein allegedly violated Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5 […]

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Jose Luis Leon, of Palmetto Bay, Florida, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for allegedly violating NASD Rule 3010 and FINRA Rule 2010. Leon was employed with BAC Florida Investments Corp. (BAC Florida) from December 1987 until his termination in February 2017. During the period […]

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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 […]