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Recent Blog Posts

FINRA Bars Ex-LPL Broker Patrick Coogan: “Reckless Misrepresentation”

By Chase Carlson |

Former Baton Rouge, Louisiana-based LPL Financial broker Patrick Coogan (CRD# 4576580) has been barred by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he made reckless misrepresentations to a customer. According to a Letter of Acceptance, Waiver, and Consent (No. 2018058134301) dated April 2020, Patrick Coogan was associated with LPL Financial as… Read More »

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Tim Hetrick: Boise Broker Sanctioned Over Alleged Forgeries

By Chase Carlson |

Former US Brokerage broker Tim Hetrick (CRD# 2048466) has been sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he refused to cooperate with an investigation into forged customer signatures. Previously associated with the firm’s office in Boise, Idaho, he was barred from associating with FINRA. According to a Letter of… Read More »

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Steve Lu: Ex-JP Morgan Broker Investigated and Barred by FINRA

By Chase Carlson |

Steve Lu (CRD# 6856088), previously a representative of JP Morgan in Altadena, California, has been sanctioned by the Financial Industry Regulatory Authority over allegations he improperly entered into a power-of-attorney relationship with an elderly retiree showing signs of dementia. He was barred from associating with FINRA member firms. According to a Letter of Acceptance,… Read More »

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Ex-NYLife Broker Alan New Sanctioned, Barred: Woodbridge Notes

By Chase Carlson |

Former Fort Wayne, Indiana broker Alan New (CRD# 2892508) was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations involving Woodbridge Group of Companies-related promissory note sales. Previously a representative of NYLife Securities, he was barred from associating with FINRA broker-dealer firms. According to a Letter of Acceptance, Waiver, and… Read More »

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Piero DiLorenzo: NYLife Broker Barred Over Annuity Allegations

By Chase Carlson |

Former Melville, New York broker Piero DiLorenzo (CRD# 4670150) was recently the subject of a disciplinary action levied by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he submitted variable annuity application forms without his customers’ authorization. Previously associated with NYLife Securities, he was barred from associating with any FINRA firm. According… Read More »

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Peg Doherty-Punderson: Morgan Stanley Broker Barred

By Chase Carlson |

Former Morgan Stanley broker Peg Doherty-Punderson (CRD# 1535750) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations she refused to cooperate with a FINRA investigation into her conduct. Previously associated with Morgan Stanley, she was barred from affiliating with any FINRA firm. According to a Letter of Acceptance, Waiver, and… Read More »

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Charles Euler: Radnor Broker Barred Over Alleged Unsuitable Trades

By Chase Carlson |

Charles Euler (CRD# 202696), a financial professional previously registered with Janney Montgomery Scott, has been sanctioned by the Financial Industry Regulatory Authority over allegations he refused to cooperate with an investigation into whether he made unsuitable trades. Formerly a representative of the firm’s office in Radnor, Pennsylvania, he was barred from acting as a… Read More »

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Kwasi Aggor: Providence Broker Barred Over Alleged Outside Business

By Chase Carlson |

Kwasi Aggor (CRD# 4974222), formerly a representative of TD Ameritrade, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he refused to cooperate with an investigation into his conduct. Previously associated with the firm’s office in Providence, Rhode Island, he was barred from associating with FINRA broker-dealer firms. According to… Read More »

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Gregory Stouffer: NYC Broker Investigated, Barred

By Chase Carlson |

Former Fidelity Brokerage Services and JP Morgan broker Gregory Stouffer (CRD# 807506) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he failed to cooperate with an investigation into his conduct. Previously associated with those firms’ offices in New York City, he was barred from affiliating with any FINRA firm…. Read More »

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FINRA Bars Ex-PFS Broker Albert Harkless: Conversion Allegations

By Chase Carlson |

Former Temple Hills, Maryland broker Albert Harkless (CRD# 2782039) was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he converted customer funds and made misrepresentations. Formerly associated with PFS Investments, he was barred from associating with FINRA broker-dealer firms. According to a Letter of Acceptance, Waiver, and Consent (No…. Read More »

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Latest Blog Posts
  • FINRA Bars Ex-LPL Broker Patrick Coogan: “Reckless Misrepresentation”

    Former Baton Rouge, Louisiana-based LPL Financial broker Patrick Coogan (CRD# 4576580) has been barred by the Financial Industry Regulatory Authority...

    Read More
  • Tim Hetrick: Boise Broker Sanctioned Over Alleged Forgeries

    Former US Brokerage broker Tim Hetrick (CRD# 2048466) has been sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection...

    Read More
  • Steve Lu: Ex-JP Morgan Broker Investigated and Barred by FINRA

    Steve Lu (CRD# 6856088), previously a representative of JP Morgan in Altadena, California, has been sanctioned by the Financial Industry...

    Read More
  • Ex-NYLife Broker Alan New Sanctioned, Barred: Woodbridge Notes

    Former Fort Wayne, Indiana broker Alan New (CRD# 2892508) was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) in...

    Read More
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