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    Financial Advisor Alex Herrera Barred for Outside Business Activities and Private Transactions
    Staff Attorney
    • Oct 12, 2018
    • 2 min

    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...
    2 views0 comments
    Former Sigma Broker Kevin Looser Disciplined for Private Securities Transactions
    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),...
    2 views0 comments
    Forest Securities Broker David Apted Disciplined for Private Securities Transactions
    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...
    5 views0 comments
    Former LP Broker Terrence Diehl Disciplined for Private Securities Transactions
    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...
    4 views0 comments
    Former Raymond James Broker Robert Scherzer Disciplined for Private Securities Transactions
    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...
    3 views0 comments
    Former Securities America Broker Michael Crowe Disciplined for Private Securities Transactions
    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...
    1 view0 comments
    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...
    2 views0 comments
    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...
    1 view0 comments
    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...
    2 views0 comments
    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),...
    1 view0 comments
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    • HOME
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