FINRA Bars Robert Todd Clark for Failing to Cooperate with Investigation Regarding Stolen Customer F
Former Moors & Cabot financial advisor, Robert Todd Clark (Clark), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
Dec 7, 20182 min read
FINRA Suspends Wells Fargo Broker Richard Hughes for Unsuitable Short-Term UIT Investment Recommenda
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Wells Fargo financial advisor Richard S....
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Staff Attorney
Nov 24, 20182 min read
Former AISG Financial Advisor Thomas Logue Barred for Potential Violations of Federal Securities Law
Former AISG financial advisor, Thomas Joseph Logue, Jr. (Logue), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
Oct 30, 20182 min read
FINRA Brings Complaint against LPL Broker Brian Lawrence Stephan for Unsuitable Mutual Fund Recommen
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Brian Lawrence Stephan (Stephan) in connection...
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Staff Attorney
Oct 29, 20182 min read
Former PFS Investments Broker Daniel Winger Barred for Stealing Funds From a Customer
Daniel Noah Winger (Dufresne) Winger a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
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Staff Attorney
Oct 25, 20182 min read
Financial Advisor Jonathan Iraggi Suspended for Discretionary Trades in Customer’s Account
The Financial Industry Regulatory Authority (FINRA) recently announced Jonathan William Iraggi (Iraggi) entered into a Letter of...
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Staff Attorney
Oct 16, 20182 min read
Financial Advisor Charles Lewis Bloom Barred for Unsuitable Investment Recommendations to Customers
Former Chelsea Financial financial advisor, Charles Lewis Bloom (Bloom), recently settled allegations with the Financial Industry...
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Staff Attorney
Oct 12, 20182 min read
FINRA Suspends Wells Fargo Broker Lloyd Layton for Unsuitable Short-Term UIT Investment Recommendati
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Morgan Stanley and current Wells Fargo...
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Staff Attorney
Oct 12, 20182 min read
Financial Advisor Alex Herrera Barred for Outside Business Activities and Private Transactions
Former UBS financial advisor, Alex Gerardo Herrera (Herrera), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
Oct 11, 20181 min read
Former Broker Robert White Suspended for Accepting Gifts from Customer
Robert Edward White (White) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
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Staff Attorney
Oct 11, 20182 min read
Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account
The Financial Industry Regulatory Authority (FINRA) recently announced Ethan De Naray (De Naray) entered into a Letter of Acceptance,...
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Staff Attorney
Oct 9, 20182 min read
Financial Advisor Clarence McGill Barred for Unsuitable Investment Recommendations to Customers
Former GWN Securities financial advisor, Clarence L McGill (McGill), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
Oct 9, 20182 min read
Financial Advisor Steven Coffey Barred for Promissory Notes Sold to Customers
Former First American financial advisor, Steven F Coffey (Coffey), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
Oct 5, 20182 min read
Financial Advisor Eric Korhut Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Eric Steven Korhut (Korhut) entered into a Letter of Acceptance,...
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Staff Attorney
Oct 2, 20182 min read
Financial Advisor Paul Soll Barred for Unsuitable Trades in Elderly Customer’s Account
Former FWG financial advisor, Paul Edward Soll (Soll), recently settled allegations with the Financial Industry Regulatory Authority...
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Staff Attorney
Oct 2, 20182 min read
Stifel, Nicolaus Broker Michael Yanow Barred for Conversion of Customer Funds
Mitchell Toby Yanow (Yanow) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
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Staff Attorney
Oct 2, 20182 min read
Robert Russel Tweed Barred from the Financial Industry for Negligent Misrepresentations
The Financial Industry Regulatory Authority’s (FINRA) Department of Enforcement filed a complaint against former financial advisor,...
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Staff Attorney
Oct 1, 20182 min read
Former FSC Securities Financial Broker Daniel Irving Suspended for Mismarking Solicited Trades in Cu
The Financial Industry Regulatory Authority (FINRA) recently announced Daniel B. Irving (Irving) entered into a Letter of Acceptance,...
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Staff Attorney
Oct 1, 20182 min read
Financial Advisor Steven Knuttila Barred for Alleged Unsuitable Transactions
Former Capital Financial financial advisor, Steven Roland Knuttila (Knuttila), recently settled allegations with the Financial Industry...
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Staff Attorney
Sep 28, 20182 min read
Financial Advisor Taek Man Chong Barred for Failing to Cooperate with FINRA Investigation
Former Raymond James financial advisor, Taek Man Chong (Chong), recently settled allegations with the Financial Industry Regulatory...
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