Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
Read MoreRecent Blog Posts
Robert Spiegel: Staten Island Broker Suspended; Churning Allegations
Former First Standard Financial Company broker Robert Spiegel (CRD# 5861656) was recently the subject of a sanction by the Financial Industry Regulatory Authority in connection to allegations of excessive and unsuitable trading. Previously based in the firm’s office in Staten Island, New York, Spiegel was issued a four-month suspension and a fine of $5,000…. Read More »
Sean Waggoner: Ex-LPL Broker Suspended Over Alleged Private Transactions
Houston broker Sean Waggoner (CRD# 2748574) was recently the subject of disciplinary action by the Financial Industry Regulatory Authority, sanctioning him in connection to allegations of unauthorized trading. A representative of Cetera Advisor Networks who was formerly associated with LPL Financial in Houston, Texas, Waggoner was issued a two-month suspension and a fine of… Read More »
Aaron Sheehy: Ex-NYC Broker Suspended Over Discretion Allegations
Former Morgan Stanley broker Aaron Sheehy (CRD# 1847401) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly exercised discretion in a customer’s account. Formerly a representative at the firm’s New York City office, Sheehy was issued a 20-day suspension and a fine of $5,000. According to a Letter… Read More »
Andrew Grant: Laidlaw Broker Suspended Over Discretion Use
Andrew Grant (CRD# 2709882), a broker currently based in Melville, New York, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he effected discretionary transactions without proper authorization. A representative of Laidlaw & Company, Grant was issued a 15-day suspension and a fine of $5,000. According to a Letter of… Read More »
Spartan Broker Albert Foronda Suspended, Fined $7,500
New York City broker Albert Foronda (CRD# 5737620) was recently the subject of disciplinary action by the Financial Industry Regulatory Authority, sanctioning in connection to allegations of unauthorized trading. A representative of Spartan Capital Securities who was formerly associated with Worden Capital Management in Guaynabo, Foronda was issued a 45-day suspension and a fine… Read More »
Julian Munoz: FINRA Suspends Independent Financial Group Broker
Guaynabo, Puerto Rico broker Julian Munoz (CRD# 4773991) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly borrowed money from a customer. A representative of Independent Financial Group who was formerly associated with Santander Securities in Guaynabo, Munoz was issued a three-month suspension and a fine of $5,000…. Read More »
Ex-LPL Financial Broker Jason LaBelle Suspended, Fined $5,000
Former Pittsfield, Massachusetts broker Jason LaBelle (CRD# 5654529) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he engaged in undisclosed outside business activities. Formerly a representative of LPL Financial, LaBelle was issued a three-month suspension and a fine of $7,500. According to a Letter of Acceptance, Waiver and Consent… Read More »
James Willing: FINRA Suspends Boston Broker Over Private Transactions
James Willing (CRD# 468560), a broker currently associated with Moors & Cabot, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he participated in undisclosed private securities transactions. Formerly a representative of Morgan Stanley in Boston, Massachusetts, Willing was issued a 35-day suspension and a fine of $7,500. According to… Read More »
Robert D’Andria: Spring Lake Broker Suspended Over ETP Sales
International Assets Advisory broker and investment adviser Robert D’Andria (CRD# 1916172) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations of unsuitable exchange-traded product sales. Currently associated with the firm’s branch office in Spring Lake, New Jersey, D’Andria was issued a 2-month suspension and a fine of $5,000. According to… Read More »
Ex-Vestech Broker Randy Carpen Barred: Excessive Trading Allegations
Former St. Louis-based broker Randy Carpen (CRD# 2469877) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority barring him in connection to allegations he engaged in excessive trading in a customer account. According to a Letter of Acceptance, Waiver and Consent (No. 2017052698601) dated January 2020, Randy Carpen was… Read More »
