A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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John Neely: Former Berthel Fisher Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Russellville, Arkansas broker and investment advisor John Neely (CRD# 501565) suspended him over allegations he exercised unauthorized discretion in hundreds of transactions. A representative of St. Bernard Financial Services who was previously registered with Berthel Fisher in Oklahoma, Neely was suspended for 15… Read More »
Carol Holesha: Former LPL Broker Suspended Over Client Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Chicago, Illinois broker Carol Holesha (CRD# 1490209) suspended her over allegations she took a loan from a customer without notifying her member firm. A former representative of LPL Financial, Holesha was suspended for five months and fined $7,500. According to a Letter… Read More »
Jake Dawson: Former Merrill Lynch Broker Suspended Over Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Lynchburg, Virginia broker Jake Dawson (CRD# 5418933) suspended him over allegations he took a loan from a customer in violation of firm policy. A former representative of Merrill Lynch who is currently an advisor at Caitlin John, Dawson was suspended for 45… Read More »
Hector Villalta: JP Morgan Broker Suspended Over Outside Business Activity Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Culver City, California broker Hector Villalta (CRD# 5857282) suspended him over allegations he participated in an undisclosed outside business activity. A representative of JP Morgan Securities, Villalta was suspended for two months and fined $5,000. According to a Letter of Acceptance, Waiver and… Read More »
Mark Saunders: FINRA Suspended Edward Jones Rep Over Unauthorized Trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Monroe City, Missouri broker and investment advisor Mark Saunders (CRD# 3060799) suspended him over allegations of unauthorized trading. A former representative of Edward Jones, Saunderswas suspended for 30 days and fined $7,500. According to a Letter of Acceptance, Waiver and Consent (No. 2018058028601)… Read More »
Michael Norman: FINRA Barred Nevada NYLife Broker; Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Reno, Nevada broker Michael Norman (CRD# 2092589) barred him after finding he failed to cooperate with an investigation into allegations he loaned money to a customer. A former representative of NYLife Securities, Norman was barred from acting as a broker or otherwise associating… Read More »
Noel Carino: FINRA Barred General Securities Advisor Over Alleged Outside Business Activities
A disciplinary action taken by the Financial Industry Regulatory Authority against former North Kansas City, Missouri broker and investment advisor Noel Carino (CRD# 3159932) barred him after finding he failed to cooperate with an investigation into allegations he participated in unapproved outside business activities. A former representative of General Securities Corporation, Carinowas barred from acting as… Read More »
Sean Waters: FINRA Barred Former Newbridge, Financial West Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Los Angeles, California broker and investment advisor Sean Waters (CRD# 4414180) barred him over allegations of excessive and unsuitable trading. A former representative of Newbridge Securities Corporation and Financial West Group, Waters was barred from acting as a… Read More »
Frank Dietrich: Quest Capital Advisor Barred by FINRA; Woodbridge Notes
A disciplinary action taken by the Financial Industry Regulatory Authority against former Lake Forest, California broker and investment advisor Frank Dietrich (CRD# 2506091) barred him over allegations he solicited investors to purchase Woodbridge notes without providing his firm with prior written notice. A former representative of Quest Capital Strategies, Dietrich was barred from acting as a broker… Read More »
Robert Basile: FINRA Barred California Waddell & Reed Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Riverside, California broker and investment advisor Robert Basile (CRD# 2392772) barred him over allegations he converted the funds of an elderly customer. A former representative of Waddell & Reed, Basile was barred from acting as a broker or otherwise associating with a broker-dealer firm. According… Read More »
