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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...
Staff Attorney
Oct 12, 20182 min read
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Former Sigma Broker Kevin Looser Disciplined for Private Securities Transactions
Kevin Edward Looser (Looser), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...
Staff Attorney
Sep 2, 20182 min read
3 views
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Forest Securities Broker David Apted Disciplined for Private Securities Transactions
David Apted (Apted), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA), which...
Staff Attorney
Jan 2, 20182 min read
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Former LP Broker Terrence Diehl Disciplined for Private Securities Transactions
Terrence Jeffrey Diehl (Diehl), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
Staff Attorney
Dec 27, 20172 min read
4 views
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Former Raymond James Broker Robert Scherzer Disciplined for Private Securities Transactions
Robert Jeffrey Scherzer (Scherzer), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
Staff Attorney
Dec 19, 20172 min read
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Former Securities America Broker Michael Crowe Disciplined for Private Securities Transactions
In October 2017, Michael A. Crowe (Crowe), a registered representative, settled a complaint with the Financial Industry Regulatory...
Staff Attorney
Dec 18, 20172 min read
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Former LPL Broker Michael Babyak Disciplined for Private Securities transactions
In October 2016, Michael Babyak, Jr. II (Babyak), a registered representative, settled a complaint with the Financial Industry Regulatory...
Staff Attorney
Mar 31, 20172 min read
2 views
0 comments
Former LPL Broker Joseph Likens Barred for Failing to Cooperate with Investigation involving Private
Former LPL Financial broker, Joseph Alan Likens (Likens), recently settled allegations with the Financial Industry Regulatory Authority...
Staff Attorney
Mar 1, 20172 min read
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Former Raymond James Broker Richard Sampley Disciplined for Recommendations in Renewable Energy Comp
In October 2016, Richard Sampley (Sampley), a registered representative, settled a complaint with the Financial Industry Regulatory...
Staff Attorney
Jan 4, 20172 min read
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0 comments
Former LPL Broker Russell Sadler Disciplined for Outside Business Activities and Private Securities
Russell Leo Sadler (Sadler), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...
Staff Attorney
Oct 27, 20162 min read
1 view
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