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
Alexander Lycouris: FINRA Suspends Ex-MML Broker
Former Fort Lauderdale broker Alexander Lycouris (CRD# 6422905), was recently the subject of a Financial Industry Regulatory Authority sanction in connection to allegations he was involved in an outside business activity which he did not disclose to his member firm. Formerly registered with MML’s branch office in Fort Lauderdale, Florida, Lycouris was issued a… Read More »
Newport Beach Rep Greg Pellizzon Sanctioned by FINRA
Greg Pellizzon (CRD# 712667), an investment adviser formerly registered as a broker with Hollencrest Capital Management, was recently suspended by the Financial Industry Regulatory Authority in connection to allegations he improperly failed to disclose a customer complaint. Currently registered as an investment adviser with Hollencrest Capital Management’s Newport Beach Office, Pellizzon was issued a… Read More »
Ex-Chicago Broker Michael Collins Suspended, Fined $10,000
Michael Collins (CRD# 2915653), a financial professional formerly registered as a broker with Robert W. Baird & Company, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he engaged in a private securities transaction without making proper disclosures to his member firm. Currently registered as an investment adviser with Kingsbury… Read More »
FINRA Suspends Los Angeles Broker Kevin Murphy: $10,000 Fine
Former Electronic Transaction Clearing broker Kevin Murphy (CRD# 1645347) was recently the subject of a disciplinary action levied by the Financial Industry Regulatory Authority over allegations he participated in an undisclosed private securities transaction and in undisclosed outside business activities. Formerly registered with Velox Securities, Murphy was issued a seven-month suspension and a fine… Read More »
Fred Randhahn: Sigma Broker Suspended Over Woodbridge Notes
Former Ogden, Utah-based broker and investment adviser Fred Randhahn (CRD# 1338801) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly engaged in private securities transactions involving the Woodbridge Group of Companies. Formerly registered with Sigma Financial Corporation, Randhahn was issued a nine-month suspension and a fine of $5,000. … Read More »
FINRA Suspends Houston Broker James Kearney
James Kearney (CRD# 265734), a financial professional formerly registered as a broker with Raymond James & Associates, has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he exercised discretion without proper authorization. Formerly based in the firm’s Houston, Texas branch office, Kearney was issued a 15-day suspension and a fine… Read More »
John Mullaly: FINRA Suspends Ex-William Blair Broker
Former Boston-based broker John Mullaly (CRD# 2679121) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly held undisclosed power of attorney over an account at an outside firm. Previously associated with Wells Fargo Securities in New York City and William Blair in Boston, Massachusetts, Mullaly was issued a… Read More »
Lynwood Broker Brian Lockett Suspended: Private Placement
Independent Financial Group broker/adviser Brian Lockett (CRD# 4573162) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he engaged in a private securities transaction. A representative at the firm’s office in Lynwood, Washington, Lockett was issued a 45-day suspension and a fine of $5,000. According to a Letter of Acceptance,… Read More »
Capital City Securities Rep Clint Keener Barred: Suitability
Former Powell, Ohio broker/adviser Clint Keener (CRD# 2250146) was recently barred by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he refused to comply with a request for testimony during a FINRA investigation into whether he recommended unsuitable investments. Keener was most recently registered with Capital City Securities. According to a Letter… Read More »
Red Bank Broker Philip Sparacino Barred, Fined $250,000
Former First Standard Financial Company broker Philip Sparacino (CRD# 3243960) was the subject of a recent FINRA sanction barring him in connection to allegations he engaged in excessive, unauthorized, and unsuitable trading. Sparacino was registered with the firm’s branch office in Red Bank, New Jersey. According to a Letter of Acceptance, Waiver and Consent… Read More »
