A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Robert D’Andria: Spring Lake Broker Suspended Over ETP Sales
International Assets Advisory broker and investment adviser Robert D’Andria (CRD# 1916172) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations of unsuitable exchange-traded product sales. Currently associated with the firm’s branch office in Spring Lake, New Jersey, D’Andria was issued a 2-month suspension and a fine of $5,000. According to… Read More »
Ex-Vestech Broker Randy Carpen Barred: Excessive Trading Allegations
Former St. Louis-based broker Randy Carpen (CRD# 2469877) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority barring him in connection to allegations he engaged in excessive trading in a customer account. According to a Letter of Acceptance, Waiver and Consent (No. 2017052698601) dated January 2020, Randy Carpen was… Read More »
Antonio Puente: Miami Broker Barred by FINRA
Antonio Puente (CRD# 2695224), formerly a broker registered with Valic Financial Advisors, has been barred by the Financial Industry Regulatory Authority in connection to allegations of potential undisclosed business activities and/or private securities transactions. According to a Letter of Acceptance, Waiver and Consent (No. 2018059909701) dated January 2020, Antonio Puente was registered with Valic… Read More »
Kari Bracy: Ex-NYLife Broker Barred After Future Income Payments Probe
Kari Bracy (CRD# 5656186), a financial professional previously working as a broker in Jacksonville Beach, Florida, has been barred by the Financial Industry Regulatory Authority over allegations involving the potential misuse of customer funds and a potential undisclosed outside business activity. According to a Letter of Acceptance, Waiver and Consent (No. 2018059595101) dated… Read More »
FINRA Bars Ex-MML Broker Charles Evan Over Insurance Sales Practices
Former MML Investors Services broker and investment adviser Charles Evan (CRD#836083) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection with allegations he engaged in inappropriate sales practices. Formerly a representative at the firm’s office in Wellesley, Massachusetts, Evan was barred from acting as a broker. According… Read More »
FINRA Bars Ex-Merrill Lynch Broker Zachary Wagner
Zachary Wagner (CRD# 6694074), formerly a broker and investment adviser in Gilbert, Arizona, was recently barred by the Financial Industry Regulatory Authority over allegations involving the potential misuse of customer funds and a potential undisclosed outside business activity. According to a Letter of Acceptance, Waiver and Consent (No. 2018060065701) dated January 2020, Zachary Wagner… Read More »
Paul Petrillo: Ex-Thrivent Broker Barred Over Discretionary Trades
Paul Petrillo (CRD# 2212735), a financial professional formerly based in Volo, Illinois, was recently sanctioned by the Financial Industry Regulatory Authority over allegations he improperly placed discretionary trades in customers’ outside accounts. The former Thrivent Investment Management representative was barred from acting as a broker. According to a Letter of Acceptance, Waiver and Consent… Read More »
FINRA Bars Kestra Rep Gabriel Hynes: Future Income Payments
Former Kestra Investment Services broker and investment adviser Gabriel Hynes (CRD# 3152541) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection to allegations he did not provide testimony requested during FINRA’s investigation into his sale of investments in Future Income Payments, LLC. Formerly a representative at the… Read More »
Shlomo Strugano: Ex-First Allied Broker Barred; Forgery Allegations
Shlomo Strugano (CRD# 3108780), a financial professional formerly based in Reseda, California, was recently barred by the Financial Industry Regulatory Authority over allegations he refused to testify during an investigation into whether he forged or falsified customer signatures. According to a Letter of Acceptance, Waiver and Consent (No. 2018060982602) dated January 2020, Shlomo Strugano… Read More »
John Chrysadakis: Norwalk Broker Barred Over Forgery Allegations
Former Northwestern Mutual Investment Services broker John Chrysadakis (CRD# 5680661) was recently barred by the Financial Industry Regulatory Authority in connection to allegations he refused to cooperate with an investigation into allegations of fraudulent activity, including forgery of insurance forms. According to a Letter of Acceptance, Waiver and Consent (No. 2018060563201) dated January 2020,… Read More »
