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
- Sep 2, 2018
- 2 min
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
- Jan 2, 2018
- 2 min
Forest Securities Broker David Apted Disciplined for Private Securities Transactions
David Apted (Apted), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA), which...
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Staff Attorney
- Dec 27, 2017
- 2 min
Former LP Broker Terrence Diehl Disciplined for Private Securities Transactions
Terrence Jeffrey Diehl (Diehl), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
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Staff Attorney
- Dec 19, 2017
- 2 min
Former Raymond James Broker Robert Scherzer Disciplined for Private Securities Transactions
Robert Jeffrey Scherzer (Scherzer), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
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Staff Attorney
- Dec 18, 2017
- 2 min
Former Securities America Broker Michael Crowe Disciplined for Private Securities Transactions
In October 2017, Michael A. Crowe (Crowe), a registered representative, settled a complaint with the Financial Industry Regulatory...
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Staff Attorney
- Mar 31, 2017
- 2 min
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 1, 2017
- 2 min
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
- Jan 4, 2017
- 2 min
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
- Oct 27, 2016
- 2 min
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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