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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....
Staff Attorney
Dec 7, 20182 min read
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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...
Staff Attorney
Oct 30, 20182 min read
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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...
Staff Attorney
Oct 12, 20182 min read
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Legend Securities Broker Marlon Cole Disciplined for Churning and other Misconduct
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Marlon O. Cole (Cole) concerning allegations he...
Staff Attorney
Dec 21, 20172 min read
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FINRA Brings Complaint against Meyers Associates Broker Craig Langweiler for Potential Financial Mis
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Craig Gary Langweiler (Langweiler) in connection...
Staff Attorney
Dec 4, 20172 min read
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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...
Staff Attorney
Nov 22, 20172 min read
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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...
Staff Attorney
Nov 20, 20172 min read
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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...
Staff Attorney
Nov 17, 20172 min read
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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...
Staff Attorney
Nov 14, 20172 min read
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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...
Staff Attorney
Sep 15, 20172 min read
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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...
Staff Attorney
Feb 18, 20172 min read
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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...
Staff Attorney
Dec 21, 20162 min read
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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...
Staff Attorney
Nov 7, 20162 min read
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