Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Kevin McCallum: Birmingham LPL Rep Suspended over BDCs
Former Birmingham stockbroker Kevin McCallum (CRD# 2222586) was recently sanctioned by the Financial Industry Regulatory Authority. A former representative of LPL Financial, he was suspended over findings of concentration and unsuitable trading. Records also show a pending investor complaint against him, alleging damages of $4 million.
NYC Rep Christopher Orlando Barred over Excessive Trading Allegations
Christopher Orlando (CRD# 4136262), previously a stockbroker based in New York City, has been sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. The former Spartan Capital Securities representative was found to have engaged in quantitatively unsuitable trading in customer accounts.
George McCaffrey: Ex-NTB Rep Barred over Private Transactions
Ex-Englewood stockbroker George McCaffrey (CRD# 847377) was recently sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. The former NTB Financial Corporation representative has also received an investor dispute alleging his actions caused $1.7 million in damages.
FINRA Bars Largo Advisor Nathan Katz
Former Largo, Florida stockbroker Nathan Katz (CRD# 846475) was the subject of a recent Financial Industry Regulatory Action sanction connected to findings he refused to cooperate with an investigation into his conduct. The former American Independent Securities Group representative was barred from acting as a broker or otherwise associating with a broker-dealer firm.
Douglas Szempruch: FINRA Suspends Former Aegis Advisor
Douglas Szempruch (CRD# 4159318), previously a stockbroker in Melville, New York, was sanctioned by the Financial Industry Regulatory Authority over findings he engaged in unsuitable trading. Formerly a representative of Aegis Capital, Mr. Szempruch was suspended from acting as a broker.
FINRA Sanctions Indianapolis Advisor Stu Pearl
Former Indianapolis stockbroker Stu Pearl (CRD# 1500833) has been sanctioned by the Financial Industry Regulatory Authority over findings he made unsuitable exchange-traded fund recommendations. Previously a representative of David A. Noyes & Company, he has been suspended from acting as a broker. He is still registered as an investment adviser with International Assets Investment… Read More »
FINRA Suspends Former SagePoint Advisor Gary Bowman
Gary Bowman (CRD# 2035699) , an ex-SagePoint Financial stockbroker, has been sanctioned by the Financial Industry Regulatory Authority after findings he engaged in unsuitable trading. A representative previously based in Corona, California, Mr. Bowman was temporarily suspended from acting as a broker.
James Flower: Ex-NYC Rep Barred over VXX ETN Trades
Ex-Spartan Capital Securities stockbroker James Flower (CRD# 2817701) has been barred from acting as a broker or otherwise associating with any broker-dealer firm. Previously based in Garden City, New York, he was found by the Financial Industry Regulatory Authority to have churned and excessively traded in customer accounts.
FINRA Sanctions Ex-GWN Securities Rep Ronald Giovino
Ex-Clearwater, Florida stockbroker Ronald Giovino (CRD# 2236071) was sanctioned by FINRA this summer after findings he failed to produce information FINRA requested as part of its investigation into whether he converted customer funds. Previously a representative of GWN Securities, Mr. Giovino was barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
FINRA Bars Tyler Rigsbee, Former Sacramento Advisor
Tyler Rigsbee (CRD# 6351278), previously a Sacramento-based stockbroker, was sanctioned by FINRA in July over findings he refused to produce information connected to an inquiry into allegations of unauthorized fund transfers. Formerly a representative of Wells Fargo Clearing Services, he was indefinitely barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
