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, 20192 min read
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, 20182 min read
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, 20182 min read
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, 20182 min read
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, 20182 min read
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, 20182 min read
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, 20182 min read
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, 20182 min read
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, 20182 min read
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, 20182 min read
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, 20182 min read
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, 20182 min read
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, 20171 min read
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, 20172 min read
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, 20172 min read
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, 20172 min read
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, 20172 min read
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, 20172 min read
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, 20172 min read
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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