Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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Merrill Lynch’s Robert Brown Terminated after $4.25 Million Complaint
Merrill Lynch fired Birmingham, Alabama-based representative Robert Brown (CRD# 1148258) following the settlement of a customer complaint for more than $4 million. Formerly of the firm’s Brown Israel Wealth Management shingle, he is currently registered as an investment adviser with RFG Advisory in Vestavia Hills, Alabama.
FINRA Suspends Ex-Merrill Lynch Rep Scott Matthews: UIT Rollovers
Ex-Merrill Lynch stockbroker Scott Matthews (CRD# 1314735) was recently sanctioned by the Financial Industry Regulatory Authority. The former Merrill Lynch representative was found to have recommended unsuitable unit investment trust (UIT) rollovers to his customers and suspended for three months.
Kelly Feehrer: Ex-Merrill Lynch Rep Suspended over UIT Rollovers
Kelly Feehrer (CRD# 1470328), previously a stockbroker in Benton, Tennessee, was recently sanctioned by FINRA after findings he engaged in unsuitable trading of unit investment trusts. Formerly a representative of Merrill Lynch, he was temporarily suspended from acting as a broker.
Kevin McCallum: Birmingham LPL Rep Suspended over BDCs
Former Birmingham stockbroker Kevin McCallum (CRD# 2222586) was recently sanctioned by the Financial Industry Regulatory Authority. A former representative of LPL Financial, he was suspended over findings of concentration and unsuitable trading. Records also show a pending investor complaint against him, alleging damages of $4 million.
NYC Rep Christopher Orlando Barred over Excessive Trading Allegations
Christopher Orlando (CRD# 4136262), previously a stockbroker based in New York City, has been sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. The former Spartan Capital Securities representative was found to have engaged in quantitatively unsuitable trading in customer accounts.
George McCaffrey: Ex-NTB Rep Barred over Private Transactions
Ex-Englewood stockbroker George McCaffrey (CRD# 847377) was recently sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. The former NTB Financial Corporation representative has also received an investor dispute alleging his actions caused $1.7 million in damages.
FINRA Bars Largo Advisor Nathan Katz
Former Largo, Florida stockbroker Nathan Katz (CRD# 846475) was the subject of a recent Financial Industry Regulatory Action sanction connected to findings he refused to cooperate with an investigation into his conduct. The former American Independent Securities Group representative was barred from acting as a broker or otherwise associating with a broker-dealer firm.
Douglas Szempruch: FINRA Suspends Former Aegis Advisor
Douglas Szempruch (CRD# 4159318), previously a stockbroker in Melville, New York, was sanctioned by the Financial Industry Regulatory Authority over findings he engaged in unsuitable trading. Formerly a representative of Aegis Capital, Mr. Szempruch was suspended from acting as a broker.
FINRA Sanctions Indianapolis Advisor Stu Pearl
Former Indianapolis stockbroker Stu Pearl (CRD# 1500833) has been sanctioned by the Financial Industry Regulatory Authority over findings he made unsuitable exchange-traded fund recommendations. Previously a representative of David A. Noyes & Company, he has been suspended from acting as a broker. He is still registered as an investment adviser with International Assets Investment… Read More »
FINRA Suspends Former SagePoint Advisor Gary Bowman
Gary Bowman (CRD# 2035699) , an ex-SagePoint Financial stockbroker, has been sanctioned by the Financial Industry Regulatory Authority after findings he engaged in unsuitable trading. A representative previously based in Corona, California, Mr. Bowman was temporarily suspended from acting as a broker.
