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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Thomas Stratton: Ex-Melbourne Rep Sanctioned, Barred
Thomas Stratton (CRD# 1646899), formerly a broker and investment adviser with World Choice Securities, was recently sanctioned by the Financial Industry Regulatory Authority. Previously a representative in the firm’s office in Melbourne, Florida, he was barred from acting as a broker or otherwise associating with any FINRA member firm.
Center Moriches Rep Eugene McAdams Barred: Suitability Allegations
The Financial Industry Regulatory Authority has barred former Joseph Stone Capital broker Eugene McAdams (CRD# 4190211) after finding he declined to cooperate with a probe into allegations of unsuitable trading. He was previously registered with Joseph Stone’s office in Center Moriches, New York.
FINRA Bars Ex-Suffield Rep Walter Allen: Alleged Discretionary Trading
Walter Allen (CRD# 1344149), formerly a representative of Cetera Advisors, has been sanctioned by the Financial Industry Regulatory Authority and barred from associating with any FINRA member firm. He was previously registered with Cetera’s office in Suffield, Connecticut.
Ex-Eastgate Rep James O’Reilly Barred: Alleged Outside Activities
James O’Reilly (CRD# 2209758), a broker previously registered with Eastgate Securities, has been sanctioned by the Financial Industry Regulatory Authority after findings he refused to cooperate with an investigation into allegations of potential undisclosed outside business activities. He was formerly registered with the firm’s office in Little Neck, New York.
Skippack Broker Lee Taylor Barred by FINRA
Former Skippack, Pennsylvania broker and investment adviser Lee Taylor (CRD# 3045030) has been barred by the Financial Industry Regulatory Authority over findings he refused to cooperate with a FINRA inquiry into allegations of misconduct against him. He is formerly a representative of Purshe Kaplan Sterling Investments in Skippack.
FINRA Bars Jericho Advisor Robert Nyilas: Suitability Allegations
Former Jericho, New York broker Robert Nyilas (CRD# 1030273) has been sanctioned by the Financial Industry Regulatory Authority over allegations he refused to cooperate with an investigation into his conduct. He was formerly registered as a broker with Lebenthal Financial Services in Jericho and Advisory Group Equity Services in Westport, Connecticut.
James Seijas: Ponzi Scheme Allegations Against Short Hills Rep
James Seijas (CRD# 2392901), a former representative of Wells Fargo Clearing Services, was recently barred from the securities industry after refusing to cooperate with an investigation into an alleged Ponzi scheme. Seijas was previously affiliated with the firm’s office in Short Hills, New Jersey.
Ronald Daley: West Chester Rep Barred Over Conversion Allegations
Ronald Daley (CRD# 4682165), formerly a representative of W&S Brokerage Services, has been sanctioned by the Financial Industry Regulatory Authority and barred over allegations he refused to comply with an investigation into allegations he converted customer funds. Daley was affiliated with the firm’s location in West Chester, Ohio until earlier this year.
Patrick Brown: $1.3MM Complaint Against Alabama Merrill Lynch Rep
Ex-Merrill Lynch representative Patrick Brown (CRD# 6089009) was involved in a pending customer complaint that settled for more than $1 million. According to the Financial Industry Regulatory Authority, a self-regulatory organization overseeing broker-dealer companies, Brown was previously registered with Merrill Lynch’s office in Montgomery, Alabama.
$546K Annuity Complaint Against Largo Rep Nathan Katz
Former Largo, Florida stockbroker Nathan Katz (CRD# 846475) was recently barred by the Financial Industry Regulatory Authority, which was investigating allegations he forged customers signatures and used unauthorized discretion. FINRA records also list customer disputes involving Katz, who was previously registered with American Independent Securities Group.
