A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Melissa Alverio: Pennsylvania Vanguard Broker Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Malvern, Pennsylvania broker Melissa Alverio (CRD# 5844392) barred her over allegations she improperly used customer and firm funds. A former representative of Vanguard Marketing Corporation, Alveriowas barred from acting as a broker or otherwise associating with a broker-dealer firm. According to a… Read More »
Marc Last: Pennsylvania NYLife Broker Barred by FINRA; Conversion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Berwyn, Pennsylvania broker Marc Last (CRD# 6366775) barred him over allegations he converted funds from a customer’s variable annuity account. A former representative of NYLife Securities, Last was barred from acting as a broker or otherwise associating with a broker-dealer firm. According… Read More »
James Clay: FINRA Bars Former CUSO, US Bancorp Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Clarksville, Tennessee broker and investment advisor James Clay (CRD# 5748560) barred him over allegations he engaged in outside business activities. A former representative of CUSO Financial Services and US Bancorp Investments, Clay was barred from acting as a broker or otherwise associating… Read More »
Seth Nannini: FINRA Suspends Capital Investment Group Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against Charlotte and Boone, North Carolina broker Seth Nannini (CRD# 4406510) suspended him over allegations he engaged in unapproved private securities transactions. A representative of Capital Investment Group, Nannini was suspended for four months and ordered to pay restitution of $7,500.
Peter Marketos: Oppenheimer Advisor Suspended Over High Yield Bond Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former New Jersey and New York City broker and investment advisor Peter Marketos (CRD# 1997184) suspended him over allegations he recommended unsuitable concentrations in high yield bonds. A former representative of Oppenheimer & Company and Raymond James & Associates, Marketos was suspended for… Read More »
Michael Jackson: Securities America Advisor Suspended Over Discretion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former University Place, Washington broker and investment advisor Michael Jackson (CRD# 2784958) suspended him over allegations he exercised unauthorized discretion. A former representative of Securities America, Jacksonwas suspended for six months and fined $10,000. According to a Letter of Acceptance, Waiver and Consent (No. 2017055684102)… Read More »
James Armstrong Jr.: Royal Alliance Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Wake Forest, North Carolina broker and investment advisor James Armstrong Jr. (CRD# 4517907) suspended him over allegations he failed in his supervisory duties. A representative of Royal Alliance Associates, Armstrong was suspended from acting in a principal capacity for three months and fined… Read More »
James Armstrong Sr.: FINRA Suspends Royal Alliance Advisor Over Alleged Supervisory Failures
A disciplinary action taken by the Financial Industry Regulatory Authority against former Wake Forest, North Carolina broker and investment advisor James Armstrong Sr. (CRD# 720549) suspended him over allegations he failed to supervise a registered representative who made unsuitable investment recommendations to four elderly customers. A former representative of Royal Alliance Associates, Armstrong was… Read More »
Kyle Harrington: Aurora Capital Advisor Barred Over Conversion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Bridgehampton, New York broker and investment advisor Kyle Harrington (CRD# 2282328) barred him over allegations he engaged in private securities transactions and converted customer funds. A former representative of Aurora Capital, Harrington was barred from acting as a broker or otherwise associating… Read More »
FINRA Bars Ex-Kestra Advisor George Robertson
A disciplinary action taken by the Financial Industry Regulatory Authority against former Darien, Connecticut broker and investment advisor George Robertson (CRD# 1026646) barred him over allegations he participated in unapproved outside business activities. A former representative of Kestra Investment Services, Robertson was barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
