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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Bill Ard: $6.5 Million Complaint Against Short Hills Broker
Financial Industry Regulatory Authority (FINRA) records show that Morgan Stanley broker and investment adviser Bill Ard (CRD# 1133673) has received multiple pending customer complaints in recent years, one alleging damages that exceed $6 million. Ard is based in Short Hills, New Jersey. Bill Ard’s BrokerCheck report lists two pending customer complaints against him. One… Read More »
Boston Rep James Baker: Complaint Alleged $20M Losses
Financial Industry Regulatory Authority (FINRA) records indicate that JP Morgan Securities broker James Baker (CRD# 5651660) recently received a customer complaint, since denied by the firm, regarding alleged misrepresentations in connection to an investment. Baker is based in Boston, Massachusetts.
FINRA Bars Ex-LPL Broker Patrick Coogan: “Reckless Misrepresentation”
Former Baton Rouge, Louisiana-based LPL Financial broker Patrick Coogan (CRD# 4576580) has been barred by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he made reckless misrepresentations to a customer. According to a Letter of Acceptance, Waiver, and Consent (No. 2018058134301) dated April 2020, Patrick Coogan was associated with LPL Financial as… Read More »
Tim Hetrick: Boise Broker Sanctioned Over Alleged Forgeries
Former US Brokerage broker Tim Hetrick (CRD# 2048466) has been sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he refused to cooperate with an investigation into forged customer signatures. Previously associated with the firm’s office in Boise, Idaho, he was barred from associating with FINRA. According to a Letter of… Read More »
Steve Lu: Ex-JP Morgan Broker Investigated and Barred by FINRA
Steve Lu (CRD# 6856088), previously a representative of JP Morgan in Altadena, California, has been sanctioned by the Financial Industry Regulatory Authority over allegations he improperly entered into a power-of-attorney relationship with an elderly retiree showing signs of dementia. He was barred from associating with FINRA member firms. According to a Letter of Acceptance,… Read More »
Ex-NYLife Broker Alan New Sanctioned, Barred: Woodbridge Notes
Former Fort Wayne, Indiana broker Alan New (CRD# 2892508) was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations involving Woodbridge Group of Companies-related promissory note sales. Previously a representative of NYLife Securities, he was barred from associating with FINRA broker-dealer firms. According to a Letter of Acceptance, Waiver, and… Read More »
Piero DiLorenzo: NYLife Broker Barred Over Annuity Allegations
Former Melville, New York broker Piero DiLorenzo (CRD# 4670150) was recently the subject of a disciplinary action levied by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he submitted variable annuity application forms without his customers’ authorization. Previously associated with NYLife Securities, he was barred from associating with any FINRA firm. According… Read More »
Peg Doherty-Punderson: Morgan Stanley Broker Barred
Former Morgan Stanley broker Peg Doherty-Punderson (CRD# 1535750) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations she refused to cooperate with a FINRA investigation into her conduct. Previously associated with Morgan Stanley, she was barred from affiliating with any FINRA firm. According to a Letter of Acceptance, Waiver, and… Read More »
Charles Euler: Radnor Broker Barred Over Alleged Unsuitable Trades
Charles Euler (CRD# 202696), a financial professional previously registered with Janney Montgomery Scott, has been sanctioned by the Financial Industry Regulatory Authority over allegations he refused to cooperate with an investigation into whether he made unsuitable trades. Formerly a representative of the firm’s office in Radnor, Pennsylvania, he was barred from acting as a… Read More »
Kwasi Aggor: Providence Broker Barred Over Alleged Outside Business
Kwasi Aggor (CRD# 4974222), formerly a representative of TD Ameritrade, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he refused to cooperate with an investigation into his conduct. Previously associated with the firm’s office in Providence, Rhode Island, he was barred from associating with FINRA broker-dealer firms. According to… Read More »
