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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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Staff Attorney
Sep 20, 20182 min read
Financial Advisor Bradley Tennison Barred for “Selling Away” an Investment
Former Geneos Wealth Management financial advisor, Bradley Joseph Tennison (Tennison), recently settled allegations with the Financial...
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Staff Attorney
Sep 15, 20182 min read
Financial Advisor Sean Brady Barred for Failing to Cooperate with FINRA Investigation
Former First Allied financial advisor, Sean Aaron Brady (Brady), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
Sep 6, 20182 min read
Selling Away and Outside Business Activity Claims
What is "Selling Away"? "Selling away" refers to the inappropriate and unethical practice in the financial industry where a financial...
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Staff Attorney
Sep 2, 20182 min read
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),...
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Staff Attorney
Aug 25, 20182 min read
Sandlapper Financial Advisor Kyusun Kim Barred for Unsuitable REIT Recommendations
Former Sandlapper Financial advisor, Kyusun Kim (Kim), recently faced a department of enforcement action in connection with his...
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Staff Attorney
Aug 8, 20182 min read
Financial Advisor Dennis Farrah Barred for Selling Away and Failing to Cooperate with FINRA Investig
Former Taylor Capital financial advisor, Dennis Mitchell Farrah (Farrah), was barred from the Financial Industry Regulatory Authority...
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Staff Attorney
Aug 4, 20181 min read
What is Investment Fraud
What is Securities Fraud? Securities fraud is any deceptive act relating to the purchase, sale or manipulation of securities. Securities...
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