Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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San Francisco Rep James Lamont Suspended Over Private Transactions
Ex-Whitehall-Parker Securities broker/adviser James Lamont (CRD# 2846228) was recently suspended by the Financial Industry Regulatory Authority in connection to allegations he engaged in unapproved private securities transactions. Formerly based at the firm’s San Francisco location, Lamont was issued an 18-month suspension and a fine of $10,000. According to a Letter of Acceptance, Waiver and… Read More »
Jeff Dyra: Naperville Rep Barred After Misappropriation Probe
Former Bankers Life Securities broker/adviser Jeff Dyra (CRD# 6785909) was recently barred by the Financial Industry Regulatory Authority in connection to allegations he refused to provide information requested during its investigation into whether he misappropriated customer funds. Dyra was most recently registered as a broker in Naperville, Illinois. According to a Letter of Acceptance,… Read More »
FINRA Bars Ex-Raymond James Rep Stuart Nichols: Excessive Trading
Stuart Nichols (CRD# 4932310), formerly a broker and investment adviser based in Birmingham, Alabama, has been sanctioned by the Financial Industry Regulatory Authority and barred in connection to allegations he refused to provide FINRA with on-the-record testimony as part of its investigation into allegations of excessive trading. Nichols was most recently registered as a… Read More »
Ex-Huntington Rep Wes Baiz Sanctioned: Outside Business Activity
A Financial Industry Regulatory Authority disciplinary action has barred former Perrysburg, Ohio broker/adviser Wes Baiz (CRD# 6501692) from acting as a broker or investment adviser, as a result of allegations he refused to provide FINRA with documents and information requested during its investigation into his conduct. Baiz was most recently registered as a broker… Read More »
Preston Tsao: FINRA Bars Ex-INTE Securities Rep
Former New York City broker Preston Tsao (CRD# 1892935) was recently barred by the Financial Industry Regulatory Authority over allegations he refused to provide FINRA with documents and information it requested as part of an investigation into his conduct. Tsao was most recently registered as a broker with INTE Securities. According to a Letter… Read More »
Dan Maughan: Ex-Financial West Group Rep Barred Over ETFs, Suitability
Former Los Angeles broker/adviser Dan Maughan (CRD# 2561363) was recently the subject of a Financial Industry Regulatory Authority sanction which barred him after finding he churned a customer’s trust account and recommended unsuitable options and non-traditional exchange-traded funds. Maughan was formerly registered with Financial West Group. According to an order (No. 2017054755206) dated October… Read More »
Louis Miller: Jericho Rep Barred Over Discretionary Trades
A Financial Industry Regulatory Authority sanction against former LPL Financial broker/adviser Louis Miller (CRD# 3054955) barred him in connection to findings he failed to provide testimony during a FINRA investigation into allegations he improperly exercised discretion in client accounts. Miller was most recently registered as a broker in Jericho, New York. According to an… Read More »
FINRA Bars Danbury Rep Maureen Scalzo: Possible Falsified Forms
Maureen Scalzo (CRD# 1349675), formerly a broker based in Danbury, Connecticut, has been barred by securities industry authorities in connection to findings she failed to provide testimony during a FINRA investigation into possible falsification of customer forms. Publicly available records indicate Scalzo was most recently registered with Benjamin F. Edwards & Company. According to… Read More »
Stephen Klinger: Ex-Wells Fargo Broker Sanctioned
A disciplinary action taken by the Financial Industry Regulatory Authority against former Asheville, North Carolina broker/adviser Stephen Klinger (CRD# 1294139) barred him after finding he failed to provide documents requested as part of a FINRA investigation into allegations he misused client funds. Klinger was formerly registered with Wells Fargo. According to a Letter of… Read More »
Jaime Westenbarger: Ex-Securities America Rep Sanctioned
Former Grand Rapids, Michigan broker Jaime Westenbarger (CRD# 4625703) has been sanctioned and barred by the Financial Industry Regulatory Authority, which found he failed to provide documents requested as part of a FINRA investigation into possible misconduct. Westenbarger is a former representative of Securities America. According to a Letter of Acceptance, Waiver and Consent… Read More »
