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
- Apr 18, 2019
- 2 min
Financial Advisor Juergen Weber Barred for Unsuitable Investment Recommendations to Customers
Former Benjamin & Jerold financial advisor, Juergen Weber (Weber), recently settled allegations with the Financial Industry Regulatory...
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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
- 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 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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Staff Attorney
- Oct 9, 2018
- 2 min
Financial Advisor Clarence McGill Barred for Unsuitable Investment Recommendations to Customers
Former GWN Securities financial advisor, Clarence L McGill (McGill), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Oct 2, 2018
- 2 min
Financial Advisor Paul Soll Barred for Unsuitable Trades in Elderly Customer’s Account
Former FWG financial advisor, Paul Edward Soll (Soll), recently settled allegations with the Financial Industry Regulatory Authority...
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Staff Attorney
- Oct 1, 2018
- 2 min
Financial Advisor Steven Knuttila Barred for Alleged Unsuitable Transactions
Former Capital Financial financial advisor, Steven Roland Knuttila (Knuttila), recently settled allegations with the Financial Industry...
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Staff Attorney
- Sep 15, 2018
- 2 min
Financial Advisor Sean Brady Barred for Failing to Cooperate with FINRA Investigation
Former First Allied financial advisor, Sean Aaron Brady (Brady), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Aug 25, 2018
- 2 min
Sandlapper Financial Advisor Kyusun Kim Barred for Unsuitable REIT Recommendations
Former Sandlapper Financial advisor, Kyusun Kim (Kim), recently faced a department of enforcement action in connection with his...
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Staff Attorney
- Nov 28, 2017
- 1 min
Former Morgan Stanley Broker Anthony Verzi Barred for Failing to Cooperate with Investigation involv
Morgan Stanley financial advisor, Anthony Joseph Verzi (Verzi), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Nov 22, 2017
- 2 min
FINRA Suspends Cetera Broker Christopher Hickman for Unsuitable Short-Term UIT Investment Recommenda
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Cetera financial advisor Christopher...
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Staff Attorney
- Nov 22, 2017
- 2 min
Coastal Equities Censured and Fined for Non-Traditional ETF Supervision
The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Coastal Equities, Inc. (“Coastal Equities”)....
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Staff Attorney
- Nov 20, 2017
- 2 min
Geraldine Gordon Disciplined for Speculative Energy Investment Recommendation
Financial advisor, Geraldine Gordon (Gordon), recently submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial...
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Staff Attorney
- Nov 17, 2017
- 2 min
James Flower Suspended for Unsuitable VIX Short Term Futures Recommendations
Financial advisor, James William Flower (Flower), recently faced a department of enforcement action in connection with his recommendation...
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Staff Attorney
- Nov 14, 2017
- 2 min
FINRA Suspends Former Source Capital Broker Daniel Bailey for Unsuitable Investment Recommendations
Daniel P. Bailey (Bailey) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
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Staff Attorney
- Sep 15, 2017
- 2 min
FINRA Suspends Former Stifel, Nicolaus Broker Harold Pomeranz for Unsuitable Short-Term UIT Investme
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2016049938201) against former...
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