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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Ex-Huntington Rep Wes Baiz Sanctioned: Outside Business Activity
A Financial Industry Regulatory Authority disciplinary action has barred former Perrysburg, Ohio broker/adviser Wes Baiz (CRD# 6501692) from acting as a broker or investment adviser, as a result of allegations he refused to provide FINRA with documents and information requested during its investigation into his conduct. Baiz was most recently registered as a broker… Read More »
Preston Tsao: FINRA Bars Ex-INTE Securities Rep
Former New York City broker Preston Tsao (CRD# 1892935) was recently barred by the Financial Industry Regulatory Authority over allegations he refused to provide FINRA with documents and information it requested as part of an investigation into his conduct. Tsao was most recently registered as a broker with INTE Securities. According to a Letter… Read More »
Dan Maughan: Ex-Financial West Group Rep Barred Over ETFs, Suitability
Former Los Angeles broker/adviser Dan Maughan (CRD# 2561363) was recently the subject of a Financial Industry Regulatory Authority sanction which barred him after finding he churned a customer’s trust account and recommended unsuitable options and non-traditional exchange-traded funds. Maughan was formerly registered with Financial West Group. According to an order (No. 2017054755206) dated October… Read More »
Louis Miller: Jericho Rep Barred Over Discretionary Trades
A Financial Industry Regulatory Authority sanction against former LPL Financial broker/adviser Louis Miller (CRD# 3054955) barred him in connection to findings he failed to provide testimony during a FINRA investigation into allegations he improperly exercised discretion in client accounts. Miller was most recently registered as a broker in Jericho, New York. According to an… Read More »
FINRA Bars Danbury Rep Maureen Scalzo: Possible Falsified Forms
Maureen Scalzo (CRD# 1349675), formerly a broker based in Danbury, Connecticut, has been barred by securities industry authorities in connection to findings she failed to provide testimony during a FINRA investigation into possible falsification of customer forms. Publicly available records indicate Scalzo was most recently registered with Benjamin F. Edwards & Company. According to… Read More »
Stephen Klinger: Ex-Wells Fargo Broker Sanctioned
A disciplinary action taken by the Financial Industry Regulatory Authority against former Asheville, North Carolina broker/adviser Stephen Klinger (CRD# 1294139) barred him after finding he failed to provide documents requested as part of a FINRA investigation into allegations he misused client funds. Klinger was formerly registered with Wells Fargo. According to a Letter of… Read More »
Jaime Westenbarger: Ex-Securities America Rep Sanctioned
Former Grand Rapids, Michigan broker Jaime Westenbarger (CRD# 4625703) has been sanctioned and barred by the Financial Industry Regulatory Authority, which found he failed to provide documents requested as part of a FINRA investigation into possible misconduct. Westenbarger is a former representative of Securities America. According to a Letter of Acceptance, Waiver and Consent… Read More »
NYLife Rep Cristina Sabengsy Barred: Unauthorized Transactions
The Financial Industry Regulatory Authority barred former Deerfield, Illinois broker Cristina Sabengsy (CRD# 6304970) after finding she forged customer signatures in order to conduct unauthorized transactions for which she received commissions. Sabengsy is a former representative of NYLife Securities. According to a Letter of Acceptance, Waiver and Consent (No. 2018057717301) dated October 2019, Cristina… Read More »
Clark Nobil: Hallandale Broker Barred by FINRA
Clark Nobil (CRD# 348552), formerly registered as a broker with Clark Nobil & Company, has been barred by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he did not comply with a FINRA investigation into his conduct. Nobil was most recently associated with that firm’s office in Hallandale, Florida. According to a… Read More »
Ex-Raymond James Broker Lance Armstrong Barred
Former Columbia, New Jersey broker/adviser Lance Armstrong (CRD# 4592423) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly accepted loans from customers and engaged in an undisclosed outside business activity. Armstrong is a former representative of Raymond James Financial Services. According to a Letter of Acceptance, Waiver and… Read More »
