Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
Read MoreRecent Blog Posts
SW Financial Rep Joseph Lianzo Sanctioned, Suspended by FINRA
SW Financial stockbroker Joseph Lianzo (CRD# 4516842) was recently sanctioned by the Financial Industry Regulatory Authority and suspended from acting as a broker. The Melville, New York representative was found to have engaged in excessive trading in customer accounts.
Ex-Woodstock Rep Alfonse Stazzone Suspended by FINRA
Alfonse Stazzone (CRD# 4908107), a stockbroker previously registered in New Jersey, has been sanctioned by the Financial Industry Regulatory Authority and suspended from acting as a broker. He was previously a representative of Monmouth Capital Securities in Holmdel, New Jersey; Garden State Securities in Red Bank, New Jersey; and Woodstock Financial in Staten Island,… Read More »
John Cangialosi: NYC Broker Suspended Over Unsuitable Trades
New York City stockbroker John Cangialosi (CRD# 3273830), was recently sanctioned by the Financial Industry Regulatory Authority over findings of unsuitable trading in customer accounts. The SW Financial representative was fined and temporarily suspended from associating with FINRA member firms.
Cesar Hurtado: 6-Figure Complaints Against Oppenheimer Rep
Miami stockbroker Cedar Hurtado (CRD# 4137948) was recently sanctioned by the Financial Industry Regulatory Authority. A representative of Oppenheimer & Company, he was found to have recommended unsuitable investment strategies to two customers.
Ex-Raymond James Rep Jeff Drost Barred by FINRA
The Financial Industry Regulatory Authority has barred former Victoria, Texas stockbroker Jeff Drost (CRD# 4489021) over findings he refused to comply with a FINRA investigation into his conduct. Formerly a representative of Raymond James Financial Services, Mr. Drost was barred from acting as a broker.
Donald Fowler: FINRA, SEC Sanction Worden Rep Over Options Strategy
Former Rockville Center, New York stockbroker Donald Fowler (CRD# 4989632) has been sanctioned by the Financial Industry Regulatory Authority and charged with fraud by the Securities and Exchange Commission. Previously a representative of Worden Capital Management, Mr. Fowler has been barred from acting as a broker.
FINRA Sanctions Ex-Pruco Rep Alexis Cooke: Forgery Allegations
Former Pruco Securities stockbroker Alexis Cooke (CRD# 5598604) was recently sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. Formerly a representative in the firm’s office in New York City, Ms. Cooke was found to have engaged in “falsification, impersonation, and forgery” connected to customers’ variable annuity applications.
Thomas Stratton: Ex-Melbourne Rep Sanctioned, Barred
Thomas Stratton (CRD# 1646899), formerly a broker and investment adviser with World Choice Securities, was recently sanctioned by the Financial Industry Regulatory Authority. Previously a representative in the firm’s office in Melbourne, Florida, he was barred from acting as a broker or otherwise associating with any FINRA member firm.
Center Moriches Rep Eugene McAdams Barred: Suitability Allegations
The Financial Industry Regulatory Authority has barred former Joseph Stone Capital broker Eugene McAdams (CRD# 4190211) after finding he declined to cooperate with a probe into allegations of unsuitable trading. He was previously registered with Joseph Stone’s office in Center Moriches, New York.
FINRA Bars Ex-Suffield Rep Walter Allen: Alleged Discretionary Trading
Walter Allen (CRD# 1344149), formerly a representative of Cetera Advisors, has been sanctioned by the Financial Industry Regulatory Authority and barred from associating with any FINRA member firm. He was previously registered with Cetera’s office in Suffield, Connecticut.
