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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Louis Cook: Ex-National Planning Broker Sanctioned, Barred
Louis Cook (CRD# 2469412), formerly a financial professional in Staten Island, New York and Knoxville, Tennessee, was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection to allegations he made misrepresentations to customers and misused their funds. Formerly registered with National Planning Corporation and Securities Service Network, Cook… Read More »
San Diego Broker Marty Batstone Barred by FINRA
Former Newbridge Securities Corporation broker Marty Batstone (CRD# 2171601) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he converted his customers’ funds for his own personal use. Previously registered with the firm’s branch office in San Diego, California, Batstone was barred from acting as a broker. According to an… Read More »
Ron Hannes: Ex-Woodbury Rep Barred Over Conversion Allegations
Ron Hannes (CRD# 1462241), formerly a financial professional in Spokane, Washington, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he converted customer funds. Formerly registered with Woodbury Financial Services, Hannes has been barred from acting as a broker. According to a Letter of Acceptance, Waiver and Consent (No. 2019064915301)… Read More »
Jeff Nimmow: FINRA Bars Ex-Forest Securities Broker
Former Hillside, Illinois broker Jeff Nimmow (CRD# 2693601) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority. He was barred in connection to allegations he improperly engaged in the sale of promissory notes. According to a Letter of Acceptance, Waiver and Consent (No. 2018057522001) dated February 2020, Jeff Nimmow… Read More »
Century Securities Broker Daniel Castoriano Suspended, Fined
Daniel Castoriano (CRD# 4229838), formerly a broker based in New Orleans, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations of unauthorized trading. Previously associated with Century Securities Associates and LPL Financial in New Orleans, Louisiana, Castoriano was issued a 20-day suspension and a fine of $5,000. According to… Read More »
Keith Rich: Ex-JP Morgan, PFS Broker Suspended Over Outside Business
Former Marietta, Georgia broker Keith Rich (CRD# 6272427) has been sanctioned by the Financial Industry Regulatory Authority (FINRA) over allegations he improperly participated in an outside business activity. Formerly a representative of JP Morgan Securities in Marietta and PFS Investments in Snellville, Georgia, Rich was issued a 45-day suspension and a fine of $5,000…. Read More »
Santa Fe Broker Tom Martin Suspended: Discretion Allegations
Tom Martin (CRD# 4500330), a broker formerly registered with Edward Jones, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he exercised discretion in customer accounts without proper authorization. Currently a representative of EK Riley Investments in Santa Fe, New Mexico, Martin was issued a 15-day suspension and a fine… Read More »
Kevin Meadows: Columbus Broker Suspended Over Unsuitable Trades
Former Cape Securities broker Kevin Meadows (CRD# 2878889) was recently the subject of a sanction by the Financial Industry Regulatory Authority in connection to allegations he engaged in excessive and unsuitable trading. Previously based in the firm’s office in Columbus, Ohio, Meadows was issued a three-month suspension. According to a Letter of Acceptance, Waiver… Read More »
Kerry Wills: First Western Broker Suspended Over Customer Loan
Manhattan Beach broker Kerry Wills (CRD# 1353739) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly took a loan from a customer. A representative of First Western Securities, Wills was issued a six-month suspension and a fine of $10,000. According to a Letter of Acceptance, Waiver and Consent… Read More »
Dallas Broker Mason Gann Suspended: Unsuitable Options Strategy
Mason Gann (CRD# 4030936), a financial professional formerly registered as a broker with Berthel Fisher & Company, was recently the subject of disciplinary action by the Financial Industry Regulatory Authority, sanctioning him in connection to allegations he recommended and executed an unsuitable options strategy. A representative in the firm’s branch office in Dallas, Texas,… Read More »
