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    Petersen Investments Broker John F. Valliades Suspended for Discretionary Trades in Customers’ Accou
    Staff Attorney
    • Jun 9, 2017
    • 2 min

    Petersen Investments Broker John F. Valliades Suspended for Discretionary Trades in Customers’ Accou

    ​The Financial Industry Regulatory Authority (FINRA) recently announced John Fotis Valliades (Valliades) entered into a Letter of...
    2 views0 comments
    Foothill Securities Censured and Fined for Real Estate Investment Trusts Supervision
    Staff Attorney
    • May 20, 2017
    • 2 min

    Foothill Securities Censured and Fined for Real Estate Investment Trusts Supervision

    The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Foothill Securities Inc. (“Foothill”). ...
    1 view0 comments
    Staff Attorney
    • Apr 8, 2017
    • 2 min

    Former Credit Suisse Broker Kai Chen Suspended for Unauthorized Trades in Customers’ Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Kai Chen (Chen) entered into a Letter of Acceptance, Waiver and...
    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 17, 2017
    • 2 min

    Former Merrill Lynch Broker Alphonso Papa Barred for Failing to Cooperate with Investigation

    Former Merrill Lynch broker, Alphonso Joseph Papa (Papa), recently settled allegations with the Financial Industry Regulatory Authority...
    1 view0 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
    • Feb 18, 2017
    • 2 min

    Former Wells Fargo Broker Robert Batchen Suspended for Unauthorized and Unsuitable Trades in Custome

    The Financial Industry Regulatory Authority (FINRA) recently announced Robert James Batchen (Batchen) entered into a Letter of...
    2 views0 comments
    Staff Attorney
    • Feb 2, 2017
    • 2 min

    FINRA Brings Complaint against National Securities Corporation Broker Glenn McDowell for Unauthorize

    On October 28, 2016, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Glenn McDowell (McDowell) in...
    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
    • Dec 21, 2016
    • 2 min

    FINRA Suspends Former Met Life Securities Broker Robert Lappin for Unsuitable Short-Term UIT Investm

    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2015044670801) against former Met...
    1 view0 comments
    Staff Attorney
    • Nov 7, 2016
    • 2 min

    FINRA Suspends Investors Capital Broker Robert Estevez for Unsuitable Structured Products

    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2014040158902) against Investors...
    1 view0 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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