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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James Flower: Ex-NYC Rep Barred over VXX ETN Trades
Ex-Spartan Capital Securities stockbroker James Flower (CRD# 2817701) has been barred from acting as a broker or otherwise associating with any broker-dealer firm. Previously based in Garden City, New York, he was found by the Financial Industry Regulatory Authority to have churned and excessively traded in customer accounts.
FINRA Sanctions Ex-GWN Securities Rep Ronald Giovino
Ex-Clearwater, Florida stockbroker Ronald Giovino (CRD# 2236071) was sanctioned by FINRA this summer after findings he failed to produce information FINRA requested as part of its investigation into whether he converted customer funds. Previously a representative of GWN Securities, Mr. Giovino was barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
FINRA Bars Tyler Rigsbee, Former Sacramento Advisor
Tyler Rigsbee (CRD# 6351278), previously a Sacramento-based stockbroker, was sanctioned by FINRA in July over findings he refused to produce information connected to an inquiry into allegations of unauthorized fund transfers. Formerly a representative of Wells Fargo Clearing Services, he was indefinitely barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
SW Financial Rep Joseph Lianzo Sanctioned, Suspended by FINRA
SW Financial stockbroker Joseph Lianzo (CRD# 4516842) was recently sanctioned by the Financial Industry Regulatory Authority and suspended from acting as a broker. The Melville, New York representative was found to have engaged in excessive trading in customer accounts.
Ex-Woodstock Rep Alfonse Stazzone Suspended by FINRA
Alfonse Stazzone (CRD# 4908107), a stockbroker previously registered in New Jersey, has been sanctioned by the Financial Industry Regulatory Authority and suspended from acting as a broker. He was previously a representative of Monmouth Capital Securities in Holmdel, New Jersey; Garden State Securities in Red Bank, New Jersey; and Woodstock Financial in Staten Island,… Read More »
John Cangialosi: NYC Broker Suspended Over Unsuitable Trades
New York City stockbroker John Cangialosi (CRD# 3273830), was recently sanctioned by the Financial Industry Regulatory Authority over findings of unsuitable trading in customer accounts. The SW Financial representative was fined and temporarily suspended from associating with FINRA member firms.
Cesar Hurtado: 6-Figure Complaints Against Oppenheimer Rep
Miami stockbroker Cedar Hurtado (CRD# 4137948) was recently sanctioned by the Financial Industry Regulatory Authority. A representative of Oppenheimer & Company, he was found to have recommended unsuitable investment strategies to two customers.
Ex-Raymond James Rep Jeff Drost Barred by FINRA
The Financial Industry Regulatory Authority has barred former Victoria, Texas stockbroker Jeff Drost (CRD# 4489021) over findings he refused to comply with a FINRA investigation into his conduct. Formerly a representative of Raymond James Financial Services, Mr. Drost was barred from acting as a broker.
Donald Fowler: FINRA, SEC Sanction Worden Rep Over Options Strategy
Former Rockville Center, New York stockbroker Donald Fowler (CRD# 4989632) has been sanctioned by the Financial Industry Regulatory Authority and charged with fraud by the Securities and Exchange Commission. Previously a representative of Worden Capital Management, Mr. Fowler has been barred from acting as a broker.
FINRA Sanctions Ex-Pruco Rep Alexis Cooke: Forgery Allegations
Former Pruco Securities stockbroker Alexis Cooke (CRD# 5598604) was recently sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. Formerly a representative in the firm’s office in New York City, Ms. Cooke was found to have engaged in “falsification, impersonation, and forgery” connected to customers’ variable annuity applications.
