Merrill Lynch Broker Michael Tanha Receives Severe Suspension for Outside Business Activities and Pr
Michael Milad Tanha (Tanha), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA)...
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Staff Attorney
- Jun 27, 2019
- 2 min
Former Cambridge Broker Anselmo Contreras Barred for Stealing Funds From Customers
Anselmo Contreras, Jr. (Contreras) accepted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...
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Staff Attorney
- Jun 21, 2019
- 2 min
Steven Zerbarini (Former NEXT Financial FA) Disciplined for Discretionary Trades in Customers’ Accou
The Financial Industry Regulatory Authority (FINRA) recently announced Steven Elliot Zerbarini (Zerbarini) entered into a Letter of...
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Staff Attorney
- Jun 21, 2019
- 2 min
Former Aegis Financial Advisor James Bradley Schwartz Suspended for Churning (Excessive Trading) and
James Bradley Schwartz (Schwartz), recently faced a department of enforcement action in connection with allegations he churned (i.e....
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Staff Attorney
- Jun 21, 2019
- 2 min
Former LPL Financial Advisor James Bylenga Barred for Personal Loans with Customer
Former LPL Financial financial advisor, James C. Bylenga (Bylenga), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Jun 18, 2019
- 2 min
Former David A. Noyes Financial Advisor Sam Aziz Barred for Unsuitable and Excessive Trading
Former David A. Noyes & Company financial advisor, Sam Aziz (Aziz), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Jun 1, 2019
- 2 min
Ameriprise Broker Corey Lee Mireau Disciplined for Undisclosed Personal Loans with Customers and Out
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Corey Lee Mireau...
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Staff Attorney
- May 31, 2019
- 2 min
Financial Advisor James B. Eichner, Jr. Disciplined for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced James B. Eichner, Jr. (Eichner) entered into a Letter of...
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Staff Attorney
- May 11, 2019
- 2 min
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
- Apr 19, 2019
- 2 min
Financial Advisor Edward Earl Mattes Barred for Stealing Funds from Multiple Clients
Former Mutual of Omaha Investor Services, Inc. financial advisor, Edward Earl Mattes (Mattes), recently settled allegations with the...
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Staff Attorney
- Dec 10, 2018
- 2 min
Unauthorized Trading Claims
All financial advisors and brokerage firms have a fundamental responsibility to deal fairly with their clients, including communicating...
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Staff Attorney
- Dec 7, 2018
- 2 min
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, 2018
- 2 min
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
- Nov 18, 2018
- 2 min
How to Sue Financial Advisor for Unsuitable Investments
Suitability Analysis Financial advisors have a duty to their clients to recommend suitable investments and investment strategies. There...
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Staff Attorney
- Nov 10, 2018
- 2 min
Financial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ Accoun
The Financial Industry Regulatory Authority (FINRA) recently announced Richard H. Yada (Yada) entered into a Letter of Acceptance, Waiver...
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Staff Attorney
- Oct 30, 2018
- 2 min
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, 2018
- 2 min
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, 2018
- 2 min
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, 2018
- 2 min
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, 2018
- 2 min
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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