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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FINRA Suspends Ex-LPL Broker Kathryn Charpie
Former Overland Park, Kansas broker Kathryn Charpie (CRD# 840016) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority over allegations she took an unapproved loan from a customer. A former representative with LPL Financial, Charpie was issued a three-month suspension and a fine of $5,000. According to a Letter… Read More »
Robert Renteria: FINRA Bars Ex-PFS Investments Broker
Robert Renteria (CRD# 5773053), a financial professional formerly based in El Paso, Texas, was recently barred by the Financial Industry Regulatory Authority in connection to allegations he provided FINRA with false information during its investigation into whether he took an unapproved loan from a customer. According to a Letter of Acceptance, Waiver and Consent… Read More »
John Borsellino: FINRA Suspends Stamford Broker
John Borsellino (CRD# 2006663), a financial professional previously registered with Morgan Stanley, has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations of unsuitable trading. A representative with the firm’s office in Stamford, Connecticut, Borsellino was issued a three-month suspension and a fine of $5,000. According to a Letter of Acceptance,… Read More »
FINRA Sanctions NYC Broker Anthony Pace
Joseph Stone Capital broker Anthony Pace (CRD# 2481049) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection to allegations he failed to reasonably supervise another representative’s excessive trading. A representative with the firm’s New York City office, Pace was issued a 60-day suspension from acting in any… Read More »
Ramon Esparza: Edinburg Broker Barred Over Bitcoin Transactions
Ramon Esparza (CRD# 5832979), formerly a broker associated with Mutual of Omaha Investor Services in Edinburgh, Texas, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he engaged in unapproved outside business activities. FINRA’s disciplinary action indefinitely barred him from associating with FINRA member firms. According to a Letter of… Read More »
Harrisburg Broker Gerald Coyne Sanctioned, Barred
Former CUSO Financial Services broker Gerald Coyne (CRD# 4589061) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he refused to fully cooperate with a FINRA investigation into whether he recommended unsuitable variable annuity investments to his customers. As a result of the sanction, he was barred from acting as… Read More »
Murry Shapero: FINRA Suspends Miami Broker Over Discretion
Maxim Group broker and investment adviser Murry Shapero (CRD# 1846138) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he engaged in discretionary trading without proper authorization. A representative at the firm’s branch office in Miami, Florida, Shapero was issued a one-month suspension. According to an order (No. 2018056487801) dated… Read More »
Palo Alto Broker Gene Gordon Suspended: Unauthorized Trades
Gene Gordon (CRD# 4744448), a broker and investment adviser associated with Fortune Financial Services, was recently sanctioned by the Financial Industry Regulatory Authority over allegations of unauthorized trading. A representative at the firm’s branch office in Palo Alto, California, Gordon was issued a 90-day suspension and a fine of $5,000. According to a Letter… Read More »
Carmelo Arce: Puerto Rico Broker Suspended, Fined
Nationwide Planning Associates broker/adviser Carmelo Arce (CRD# 5526419), has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he was made discretionary trades without proper authorization. A representative at the firm’s branch office in Hato Rey, Puerto Rico, Arce was issued a seven-month suspension and a fine of $5,000. According to… Read More »
FINRA Suspends NYLife Broker David Kendrick: $30,000 Fine
Former Shreveport, Louisiana broker and investment adviser David Kendrick (CRD# 4384666) has been sanctioned by the Financial Industry Regulatory Authority over allegations he was involved in an undisclosed outside business activity. Formerly registered with NYLife Securities Securities, Kendrick was issued an 18-month suspension and a fine of $30,000. According to a Letter of Acceptance,… Read More »
