Staff AttorneySep 20, 20182 minFinancial Advisor Bradley Tennison Barred for “Selling Away” an InvestmentFormer Geneos Wealth Management financial advisor, Bradley Joseph Tennison (Tennison), recently settled allegations with the Financial...
Staff AttorneySep 15, 20182 minFinancial Advisor Sean Brady Barred for Failing to Cooperate with FINRA InvestigationFormer First Allied financial advisor, Sean Aaron Brady (Brady), recently settled allegations with the Financial Industry Regulatory...
Staff AttorneySep 2, 20182 minFormer Sigma Broker Kevin Looser Disciplined for Private Securities TransactionsKevin Edward Looser (Looser), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...
Staff AttorneyAug 25, 20182 minSandlapper Financial Advisor Kyusun Kim Barred for Unsuitable REIT RecommendationsFormer Sandlapper Financial advisor, Kyusun Kim (Kim), recently faced a department of enforcement action in connection with his...