Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Michael Mackay: FINRA Bars Cincinnati Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cincinnati, Ohio broker and investment advisor Michael Mackay (CRD# 2279775) barred him after finding he failed to provide information connected with its investigation into whether he referred customers to investments unapproved by his member firm. A former representative of Transamerica Financial Advisors,… Read More »
Richard Cagle: FINRA Bars Corpus Christi Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Corpus Christi, Texas broker and investment advisor Richard Cagle (CRD# 2122648) barred him after finding he failed to appear for testimony connected with its investigation of allegations he made unsuitable investment recommendations and mis-marked customer order tickets. A former representative of Hilltop… Read More »
John Atchison: Virginia Beach Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Virginia Beach, Virginia broker and investment advisor John Atchison (CRD# 1284207) suspended him over allegations he engaged in discretionary trading without proper authorization from his customers. A representative of Davenport & Company, Atchison was suspended for 15 days and issued a fine of… Read More »
Douglas Simanski: Altoona, Pennsylvania Financial Advisor Suspended
A disciplinary action taken by the Securities and Exchange Commission against former Altoona, Pennsylvania broker and investment advisor Douglas Simanski (CRD# 2606998) barred him over allegations he defrauded investors and used investor funds for his own personal gain. A former representative of Next Financial Group, Simanski has also received 21 customer complaints that reached… Read More »
Wesley Perkins: SEC Complaint Against Lafayette Financial Advisor
A pending civil complaint by the Securities and Exchange Commission against former Lafayette, Louisiana broker and investment advisor Wesley Perkins (CRD# 4565682) alleges he engaged in a fraudulent “cherry-picking” investment scheme that generated ill-gotten gains of at least $700,000. A former representative of Purshe Kaplan Sterling and owner of World Tree Financial, Perkins is… Read More »
Bob Forsyth: Charlottesville Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Charlottesville, North Carolina broker and investment advisor Bob Forsyth (CRD# 1425529) suspended him over allegations he engaged in discretionary trading without proper authorization. A representative of Davenport & Company, Forsyth was suspended for 15 days and ordered to pay a fine of $2,500…. Read More »
Matthew Albers: Vienna, Virginia Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Vienna, Virginia broker and investment advisor Roger Owens (CRD# 2917814) suspended him over allegations he improperly exercised discretionary authority in client accounts. A representative of Paulson Investment Company, Albers was suspended for 15 days and ordered to pay a fine of $5,000. According… Read More »
Karen Paek: El Segundo Financial Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former El Segundo, California broker Karen Paek (CRD# 5985441) barred her over allegations she fabricated variable annuity applications and forged customer signatures. A former representative of Pruco Securities, Paek was barred from acting as a broker or otherwise associating with a broker-dealer firm…. Read More »
Richard Coleman: Melville, New York Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Melville, New York broker Richard Coleman (CRD# 2720422) suspended him over allegations he engaged in excessive trading in customer accounts. Formerly a representative of SW Financial, Coleman was suspended for two years and ordered to pay a fine of $15,000. According to… Read More »
FINRA Suspends PHX Advisor Steve Baptist
A disciplinary action taken by the Financial Industry Regulatory Authority against New York City broker Steve Baptist (CRD# 5885870) suspended him over allegations he engaged in unauthorized trading. A representative of PHX Financial, Baptist was suspended for 30 days and ordered to pay a fine of $5,000. According to a Letter of Acceptance, Waiver… Read More »
