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Glenn Robert King Allegedly Engaged in Excessive Trading of Customer Accounts and Exercised Discretion in Customer Accounts without Written Consent or Approval Glenn Robert King allegedly engaged in excessive trading of customer accounts and exercised discretion in customer accounts without written consent or approval, according to a Complaint from FINRA’s Department of Enforcement currently unde.
David Joseph Escarcega Allegedly Made Materially False and Misleading Statements in Connection with Seven Customers’ Purchases of Debentures Totaling Approximately $516,825 David Joseph Escarcega allegedly made materially false and misleading statements in connection with seven customers’ purchases of debentures totaling approximately $516,825, according to a Complaint from FINRA’s Department of .
Roger Salvatore Zullo and LPL Financial Allegedly Defrauded His Clients, Falsified Client Financial Suitability Profiles, and Sold His Customers Unsuitable Variable Annuities Roger Salvatore Zullo allegedly defrauded his clients, falsified client financial suitability profiles, and sold his customers unsuitable variable annuities, according to a Consent Order from the Massachusetts Securities Div.
Mark Charles Koehler Allegedly Engaged in Unsuitable Trading, Including Short-term Mutual Fund Switching and Excessive Trading in Customer Accounts; Koehler also Allegedly Placed Undue Influence before a Customer’s Death Mark Koehler allegedly engaged in unsuitable trading, including short-term mutual fund switching and excessive trading in customer accounts, according to a recent Letter of Accep.
Jason H. LeBlanc Allegedly Failed to Disclose Several Outside Business Activities to Girard Securities, Inc. and Provided Inaccurate Information about an Outside Business Activity to the Firm Jason LeBlanc, between January 2012 and September 2015, allegedly failed to disclose several outside business activities to Girard Securities, Inc.
Lona M. Nanna Allegedly Knew about Outside Business Activities Engaged in by Robert Lawson; Nanna Allegedly Failed to Make Timely Updates to Lawson’s Securities Industry Registration Form Lona Nanna, from 2009 through 2016, allegedly knew about outside business activities engaged in by Robert Lawson, the CEO of Lawson Financial Corporation’s (LFC), according to a Complaint from ...
James Keith Cox, of Baton Rouge, Allegedly Recommended Unsuitable Annuity Transactions to a Customer and Took in $25,460 Related to the Exchange James Keith Cox, of Baton Rouge, allegedly recommended unsuitable annuity transactions to a customer and took in $25,460 in relation to the exchange, according to a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys.
Paul Wescoe Smith Allegedly Engaged in a Private Securities Transaction Paul Wescoe Smith, formerly associated with Bolton Global Capital in Wayne, Pennsylvania, allegedly engaged in a private securities transaction, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.
Christopher R. Hickman Allegedly Engaged in an Unsuitable Pattern of Short-term Trading of UIT’s in Six Customer Accounts; Hickman’s Clients Allegedly Lost Approximately $115,989.75 Christopher Hickman, of Delray Beach, Florida and a former advisor at Cetera Advisors, allegedly engaged in a pattern of unsuitable short-term trading of UIT’s in six customer accounts with purported ...
Kyle P. Harrington Allegedly Engaged in Undisclosed Private Securities Transactions and Also Attempted to Hide Them from National Securities Corporation; Linda Milberger Allegedly Helped Create False Documents to Submit to FINRA to Hide Said Misconduct Kyle Harrington allegedly engaged in undisclosed private securities transactions and also made attempts to conceal them from Nat ...
Kim Dee Isaacson Allegedly Made Fraudulent Misrepresentations and Omissions of Material Facts to Morgan Stanley Customers Kim Dee Isaacson allegedly made fraudulent misrepresentations and omissions of material facts to Morgan Stanley customers, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.
Wells Fargo’s Mortgage Office, Despite a Major Scandal in Its Consumer Division, Allegedly Put Unauthorized Changes Through to Home Loans Which Were Owned by Customers in Bankruptcy Well Fargo’s Mortgage side allegedly put unauthorized changes through to home loans which were purportedly owned by clients in a state of bankruptcy, according to a new Class Action Suit currently under review by atto.
Heidi Heiser Allegedly Lost Her Job at CenturyLink after during the Process of a Companywide Question-and-answer Session on an Internal Message Board; Heiser, a Former Customer Service and Sales Agent for CenturyLink from August 2015 to October 2016, Alleges a High-Pressure Sales Culture at CenturyLink Inc. Heidi Heiser was terminated from CenturyLink Inc.
Sung Hong and Hyun Joo Hong Allegedly Ran an Investment Fraud Scheme which Purportedly Defrauded Clients out of Hundreds of Thousands of Dollars Sung Hong and Hyun Joo Hong, of Clyde Hill, Washington, allegedly claimed to be experienced investment advisors and also allegedly solicited several million dollars in investor funds from numerous clients, according to Reports from U.S.
Michael A. Mahabir Allegedly Engaged in the Conversion of Customer Funds in the Course of Assisting a Customer Michael Mahabir, of Monrovia, California, allegedly engaged in the conversion of customer funds in the course of assisting a customer of J.P. Morgan’s affiliated bank, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by a ...
David Wesley Wells Allegedly Misappropriated Funds while Serving for the Counsel Trust Group, an Independent Contractor Office Associated with Mid Atlantic Capital Corporation David Wesley Wells, a broker from Hanover, Pennsylvania, allegedly misappropriated funds while serving for the Counsel Trust Group, an independent contractor office associated with Mid Atlantic Capital Corporation, accordin.
Christopher S. Jorgensen Under Investigation Regarding Allegations that His Brokerage Firm, Summit Brokerage Services, Received a Customer Complaint Alleging that Jorgenson Purportedly Directed a Customer to Not Respond to a FINRA Inquiry Christopher Jorgensen was under investigation regarding allegations that his brokerage firm, Summit Brokerage Services, purportedly received a ...
Brent D. Hurt Allegedly Failed to Supervise a Registered Rep from Red Ridge Securities Inc. (f/k/a H.D. Brent & Company. Inc) Relating to the Sales of a Private Offering Brent Hurt allegedly failed to supervise a registered rep, Eric Johnson from Red Ridge Securities Inc. (f/k/a H.D. Brent & Company.
Mark Sellers Allegedly Orchestrated a Ponzi Scheme with Alleged Help from John Scott Elliott to Purportedly Sell Investments in Kansas City-Based Selden Companies Have you or a loved one lost money investing in Selden Companies LLC? Mark Sellers, the owner of Selden Companies LLC, a Kansas City, Missouri-area based firm, allegedly orchestrated a Ponzi scheme, according to an Action from the Depar.
Thurman P. Bryant, III & His Company Bryant United Capital Funding, Inc. (BUCF) Allegedly Orchestrated a $23 Million Mortgage Investment Scheme Involving up to 100 Investors Thurman P. Bryant, III and his company Bryant United Capital Funding, Inc. (BUCF) allegedly orchestrated a $23 million mortgage investment scheme involving up to 100 investors, according to an SEC Compla ...