Winnetka, Illinois financial advisor Pat Gorand (CRD# 5559541) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry...
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Jon Iraggi: Morganville, New Jersey Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Morganville, New Jersey financial advisor Jon Iraggi (CRD# 5857254) suspended him over allegations he improperly used discretion in customer accounts. A former representative of National Securities Corporation, Iraggi was suspended for 30 days and ordered to pay a fine of $5,000. According… Read More »
Joseph Eschleman: FINRA Suspended Sacramento Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Sacramento, California broker and investment advisor Joseph Eschleman (CRD# 3237843) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A representative of Purshe Kaplan Sterling Investments, Marino was suspended for ten days and ordered to pay a fine of $5,000…. Read More »
Lloyd Layton: New York City Financial Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against New York City broker and investment advisor Lloyd Layton (CRD# 1618414) suspended him over allegations he engaged in unsuitable short-term trading of unit investment trust products. A representative of Coastal Equities who was formerly registered with Morgan Stanley in Washington, DC, Layton was… Read More »
Alex Herrera: FINRA Bars Coral Gables Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Coral Gables, Florida broker and investment advisor Alex Herrera (CRD# 3204779) barred him after finding he failed to provide documents and information requested as part of its investigation into possible undisclosed outside business activities and private securities transactions. A former representative of… Read More »
Geoff Turner: Savannah, Georgia Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Savannah, Georgia broker and investment advisor Geoff Turner (CRD# 4007735) suspended him over allegations he made unsuitable recommendations of L-share variable annuity contracts. A representative of BB&T Securities, Turner was suspended for 30 days and fined $7,500. According to a Letter of Acceptance,… Read More »
Robert Torcivia: FINRA Suspends Phoenix, Arizona Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Phoenix, Arizona broker and investment advisor Robert Torcivia (CRD# 700880) suspended him over allegations he improperly accepted fiduciary and beneficiary designations from senior customers of his member firm. A former representative of Moors & Cabot, Torcivia was suspended for seven months and… Read More »
Timothy Scherwa: FINRA Suspends Florham Park Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Florham Park, New Jersey broker and investment advisor Timothy Scherwa (CRD# 2743773) suspended him over allegations he improperly exercised discretion in customer accounts. A representative of Capitol Securities Management, Scherwa was suspended for two months and fined $7,500. According to a Letter of… Read More »
Robert Harger: Alexandria Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Alexandria and New Orleans, Louisiana broker and investment advisor Robert Harger (CRD# 863069) suspended him over allegations he allowed his customers to sign incomplete variable annuity exchange forms and fill in the missing information at a later point. A representative of Harger &… Read More »
George McCaffrey: Englewood, Colorado Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Englewood, Colorado broker and investment advisor George McCaffrey (CRD# 847377) suspended him over allegations he participated in undisclosed private securities transactions involving nine investors. A former representative of NTB Financial, McCaffrey was suspended for 18 months and fined $15,000. According to a… Read More »
Richard Yada: FINRA Suspends Little Rock Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Little Rock, Arkansas broker and investment advisor Richard Yada (CRD# 1077317) suspended him over allegations he exercised discretion in customer accounts without authorization. A former representative of LPL Financial, Yada was suspended for two months and fined $5,000. According to a Letter… Read More »
