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Sam Aziz: FINRA Bars Ohio David A. Noyes Advisor

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against former Dublin, Ohio broker and investment advisor Sam Aziz (CRD# 1721932) barred him over allegations he refused to appear for on-the-record testimony requested as part of an investigation into his sales practices. A former representative of David A. Noyes & Company and Coastal… Read More »

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Ed Matthes: FINRA Bars Wisconsin Mutual of Omaha Advisor

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against former Oconomowoc, Wisconsin broker and investment advisor Ed Matthes (CRD# 2788055) barred him over allegations he failed to requested information as part of a FINRA investigation. A former representative of Mutual of Omaha Investor Services, Matthes was indefinitely barred from acting as a… Read More »

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Dennis Hayes: Former Boca Raton Newbridge Advisor Barred by FINRA

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Melville, New York broker and investment advisor Dennis Hayes (CRD# 4403550) barred him over allegations he engaged in undisclosed private securities transactions. A former representative of Newbridge Securities Corporation, Hayes was indefinitely barred from acting as a broker… Read More »

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Judith Johnston: Former NYLife Broker Barred; Variable Annuity Complaints

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against former Frisco, Texas broker Judith Johnston (CRD# 5532549) barred her over allegations she refused to provide testimony requested as part of an investigation into multiple customer complaints against her. A former representative of NYLife Securities, Johnston was indefinitely barred from acting as a… Read More »

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Donovan Hunter: FINRA Bars Former Texas Broker

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against former Houston, Texas broker Donovan Hunter (CRD# 6622234) barred him over allegations he refused to provide information requested as part of an investigation into possible unapproved outside business activity. A former representative of JP Morgan & Company, Hunter was indefinitely barred from acting… Read More »

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Gerard Whelan: FINRA Suspends Former NYC Advisor

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker and investment advisor Gerard Whelan (CRD# 2445147) suspended him over allegations he participated in undisclosed and unapproved private securities transactions. A former representative of Charles Schwab & Company, Whelan was fined $7,500 and suspended from acting as a… Read More »

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Steven Zerbarini: Florida Advisor Suspended Over Trading Allegations

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against Safety Harbor, Florida advisor Steven Zerbarini (CRD# 2845669) suspended him over allegations he recommended exercised unauthorized discretion in customer accounts. A former representative of Next Financial and a current representative of Camelot Advisors, Zerbarini was fined $5,000 and suspended from acting as a… Read More »

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William Thurmond: FIRA Suspends NYC Broker Over ETF Trades

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against former New York, New York broker William Thurmond (CRD# 870133) suspended him over allegations he recommended unsuitable exchange-traded fund investments. A former representative of Alexander Capital, Thurmond was fined $25,000 and suspended from acting as a broker for 15 months as a result… Read More »

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Corey Mireau: FINRA Suspends Former Minnesota Ameriprise Advisor

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against former Eden Prairie, Minnesota broker and investment advisor Corey Mireau (CRD# 3046777) suspended him over allegations he took undisclosed and unapproved loans from firm customers. A former representative of Ameriprise Financial Services, Mireau was fined $15,000 and suspended from acting as a broker… Read More »

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Brian Stephan: Former Ohio Advisor Suspended Over Mutual Fund Recommendations

By Chase Carlson |

A disciplinary action taken by the Financial Industry Regulatory Authority against former Xenia, Ohio broker and investment advisor Brian Stephan (CRD# 4222796) suspended him over allegations he recommended unsuitable investments to an elderly customer. A former representative of American Wealth Management, Stephan was fined $10,000 and suspended for eight months from acting as a… Read More »

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Latest Blog Posts
  • Sam Aziz: FINRA Bars Ohio David A. Noyes Advisor

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Dublin, Ohio broker and investment advisor Sam Aziz...

    Read More
  • Ed Matthes: FINRA Bars Wisconsin Mutual of Omaha Advisor

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Oconomowoc, Wisconsin broker and investment advisor Ed Matthes...

    Read More
  • Dennis Hayes: Former Boca Raton Newbridge Advisor Barred by FINRA

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Melville, New York broker...

    Read More
  • Judith Johnston: Former NYLife Broker Barred; Variable Annuity Complaints

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Frisco, Texas broker Judith Johnston (CRD# 5532549) barred...

    Read More
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