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Financial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Stephen J. Kaufman (Kaufman) entered into a Letter of Acceptance,...
Christopher Lufrano
2 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...
Christopher Lufrano
2 min read
James R. Schaedler Barred for Failing to Cooperate with Investigation involving Elderly Client’s Est
Former Wells Fargo financial advisor, James R. Schaedler, Jr. (Schaedler), recently consented to a permanent bar from the Financial...
Christopher Lufrano
2 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...
Christopher Lufrano
2 min read
Former Bolton Global Broker Paul Smith Barred for Failing to Cooperate with Investigation involving
Bolton Global financial advisor, Paul Wescoe Smith (Smith), recently settled allegations with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
Pruco Securities Broker Zena Yofonovich Disciplined for Borrowing from Elderly Customer
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Zena Yofonovich...
Christopher Lufrano
2 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...
Christopher Lufrano
2 min read
Former Edward Jones Broker Michael Mason Barred for Failing to Cooperate with Investigation involvin
Former Edward Jones broker, Michael Jean-Paul Mason (Mason), recently settled allegations with the Financial Industry Regulatory...
Christopher Lufrano
2 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...
Christopher Lufrano
2 min read
Former First Allied Broker Larry Farmbry Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Larry W. Farmbry (Farmbry) entered into a Letter of Acceptance,...
Christopher Lufrano
2 min read
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...
Christopher Lufrano
2 min read
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”). ...
Christopher Lufrano
2 min read
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...
Christopher Lufrano
2 min read
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...
Christopher Lufrano
2 min read
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...
Christopher Lufrano
2 min read
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...
Christopher Lufrano
2 min read
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...
Christopher Lufrano
2 min read
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...
Christopher Lufrano
2 min read
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...
Christopher Lufrano
2 min read
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...
Christopher Lufrano
2 min read
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