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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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Jonathan Zwickel: FINRA Bars Houston Broker

By Chase Carlson |

Former Clinger & Company broker Jonathan Zwickel (CRD#1724322) was recently named in a disciplinary action by the Financial Industry Regulatory Authority. He was barred over allegations he refused to cooperate with an investigation into whether he improperly engaged in an outside business activity. According to a Letter of Acceptance, Waiver and Consent (No. 2020065586401)… Read More »

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Carlson Law Files Case Against Parque Towers Developers

By Chase Carlson |

Carlson Law, P.A., along with co-counsel Barakat Law, P.A., has filed a lawsuit in Miami-Dade County, Florida, for several purchasers of condominium units in the Parque Towers development in Sunny Isles Beach, Florida. The lawsuit alleges that the developer’s brochures misrepresented the size of the units and that the purchasers relied on that information… Read More »

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FINRA Bars Corpus Christi Broker Charles Doraine: Puerto Rico Bonds

By Chase Carlson |

Former Next Financial Group broker Charles Doraine (CRD# 70411) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations of unsuitable trading of mutual funds and Puerto Rico municipal bonds. Formerly associated with firm’s office in Corpus Christi, Texas, he was barred from associating with FINRA firms. According to a Letter… Read More »

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Bryan Benson: Tucson Broker Barred Over Customer Complaint

By Chase Carlson |

Former Wells Fargo Clearing Services broker Bryan Benson (CRD# 807506) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority, which barred him from associating with any FINRA member firm after finding he failed to cooperate with an investigation into a customer complaint. According to a Letter of Acceptance, Waiver,… Read More »

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James Kennedy: FINRA Probes, Bars Woodbury Broker

By Chase Carlson |

Former Madison, Missouri broker James Kennedy (CRD# 1527660) has been sanctioned by the Financial Industry Regulatory Authority over findings he failed to comply with an investigation into allegations of an unapproved outside business activity. Formerly associated with Woodbury Financial Services, he was barred from associating with any FINRA firm. According to a Letter of… Read More »

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Glendale Broker Arthur Hoffman Barred: Alleged Private Transactions

By Chase Carlson |

Former Ameriprise Financial Services broker Arthur Hoffman (CRD# 3193754) was recently the subject of a Financial Industry Regulatory Authority disciplinary action over allegations involving private securities transactions and outside business activities. Previously a representative at the firm’s office in Glendale, Arizona, he was barred from associating with any FINRA member firm. According to a… Read More »

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Irene Engard: Ex-PFS Broker Barred After FINRA Investigation

By Chase Carlson |

Irene Engard (CRD# 2300387), a financial professional formerly based in Federal Way, Washington, has been sanctioned by the Financial Industry Regulatory Authority following an investigation into her business activity outside her member firm, PFS Investments. Also known as Irene Smith, she was barred from associating with FINRA broker-dealer firms. According to a Letter of… Read More »

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FINRA Bars Monmouth Broker Dennis Murphy: Suitability Allegations

By Chase Carlson |

Former Red Bank, New Jersey broker Dennis Murphy (CRD# 4840274) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority concerning allegations of potentially unsuitable trading. Previously a representative of Monmouth Capital Management, he was barred from associating with FINRA member firms. According to a Letter of Acceptance, Waiver, and… Read More »

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Ashley Martin: Morgan Stanley Broker Barred Over Alleged Altered Forms

By Chase Carlson |

Ashley Martin (CRD# 4628096), previously a representative of Morgan Stanley in Leawood, Kansas, has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations she failed to comply with its investigation into allegations she altered customer forms. As a result of the action, she has been barred from associating with FINRA member… Read More »

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