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Staff Attorney
Jun 9, 20172 min read
Petersen Investments Broker John F. Valliades Suspended for Discretionary Trades in Customers’ Accou
The Financial Industry Regulatory Authority (FINRA) recently announced John Fotis Valliades (Valliades) entered into a Letter of...
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Staff Attorney
May 20, 20172 min read
Foothill Securities Censured and Fined for Real Estate Investment Trusts Supervision
The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Foothill Securities Inc. (“Foothill”). ...
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Staff Attorney
Apr 8, 20172 min read
Former Credit Suisse Broker Kai Chen Suspended for Unauthorized Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Kai Chen (Chen) entered into a Letter of Acceptance, Waiver and...
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Staff Attorney
Mar 31, 20172 min read
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...
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Staff Attorney
Mar 17, 20172 min read
Former Merrill Lynch Broker Alphonso Papa Barred for Failing to Cooperate with Investigation
Former Merrill Lynch broker, Alphonso Joseph Papa (Papa), recently settled allegations with the Financial Industry Regulatory Authority...
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Staff Attorney
Mar 1, 20172 min read
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...
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Staff Attorney
Feb 18, 20172 min read
Former Wells Fargo Broker Robert Batchen Suspended for Unauthorized and Unsuitable Trades in Custome
The Financial Industry Regulatory Authority (FINRA) recently announced Robert James Batchen (Batchen) entered into a Letter of...
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Staff Attorney
Feb 2, 20172 min read
FINRA Brings Complaint against National Securities Corporation Broker Glenn McDowell for Unauthorize
On October 28, 2016, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Glenn McDowell (McDowell) in...
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Staff Attorney
Jan 4, 20172 min read
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...
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Staff Attorney
Dec 21, 20162 min read
FINRA Suspends Former Met Life Securities Broker Robert Lappin for Unsuitable Short-Term UIT Investm
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2015044670801) against former Met...
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Staff Attorney
Nov 7, 20162 min read
FINRA Suspends Investors Capital Broker Robert Estevez for Unsuitable Structured Products
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2014040158902) against Investors...
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Staff Attorney
Oct 27, 20162 min read
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),...
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