San Jose, California financial advisor Joseph Langlois (CRD# 4216281) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Irene Engard: Ex-PFS Broker Barred After FINRA Investigation
Irene Engard (CRD# 2300387), a financial professional formerly based in Federal Way, Washington, has been sanctioned by the Financial Industry Regulatory Authority following an investigation into her business activity outside her member firm, PFS Investments. Also known as Irene Smith, she was barred from associating with FINRA broker-dealer firms. According to a Letter of… Read More »
FINRA Bars Monmouth Broker Dennis Murphy: Suitability Allegations
Former Red Bank, New Jersey broker Dennis Murphy (CRD# 4840274) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority concerning allegations of potentially unsuitable trading. Previously a representative of Monmouth Capital Management, he was barred from associating with FINRA member firms. According to a Letter of Acceptance, Waiver, and… Read More »
FINRA Bars Morgan Stanley’s Ashley Martin
Ashley Martin (CRD# 4628096), previously a representative of Morgan Stanley in Leawood, Kansas, has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations she failed to comply with its investigation into allegations she altered customer forms. As a result of the action, she has been barred from associating with FINRA member… Read More »
Cadaret Grant Broker Gerald Dewes Barred: FINRA Investigation
Former East Amherst, New York broker Gerald Dewes (CRD# 2465538) has been sanctioned by the Financial Industry Regulatory Authority following an investigation into his potential involvement in private securities transactions and outside business activities. Formerly associated with Cadaret Grant & Company, he was barred from associating with any FINRA member firm. According to a… Read More »
James McKinney: FINRA Bars Tulsa Cetera Advisors Broker
James McKinney (CRD# 2100850), formerly a representative of Cetera Advisors in Tulsa, Oklahoma, has been sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he failed to comply with an investigation into his potential involvement in undisclosed private securities transactions. He has been barred from associating with FINRA member firms. According… Read More »
Austin Broker James Gallego Barred by FINRA
Former CUSO Financial Services broker James Gallego (CRD# 6226068) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he refused to cooperate with an investigation into his “potential involvement” in the movement of a customer’s funds. Formerly associated with the firm’s branch office in Austin, Texas, he was barred from… Read More »
Demaurio Clark: Wells Fargo Broker Barred Over Conversion Allegations
Demaurio Clark (CRD# 6945280), formerly a representative of Wells Fargo Clearing Services in Acworth, Georgia, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) over allegations he converted an elderly customer’s funds and used them for his personal expenses. According to a Letter of Acceptance, Waiver and Consent (No. 2019064268201) dated March 2020,… Read More »
Stifel Nicolaus Broker Steven Rodemer Barred: Conversion Allegations
Steven Rodemer (CRD# 830561), who used to be a representative of Stifel Nicolaus & Company in Pueblo, Colorado, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he took a client’s funds for his own personal use. He has been barred from acting as a broker. According to a Letter… Read More »
Dana Vietor: Dallas Broker Barred Over Deposit Agreement Sales
Dana Vietor (CRD# 873129), formerly a representative of CFD Investments in Dallas, Texas, was recently barred by the Financial Industry Regulatory Authority in connection to allegations he engaged in private securities transactions involving the sales of promissory note products known as Deposit Agreements. According to a Letter of Acceptance, Waiver and Consent (No. 2018060199101)… Read More »
Ex-Kestra Broker James Daughtry Barred Over Trading Allegations
James Daughtry (CRD# 3272282), formerly a representative of Kestra Investment Services in Dothan, Alabama, was recently sanctioned by the Financial Industry Regulatory Authority and barred over allegations he refused to cooperate with an investigation into whether he made potentially fraudulent and unauthorized trades. According to a Letter of Acceptance, Waiver and Consent (No. 2020065293201)… Read More »
