Investors who suffered losses in on investments in Spring Hill Holdings may have recovery options. The company, an owner and...
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Jake Dawson: Former Merrill Lynch Broker Suspended Over Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Lynchburg, Virginia broker Jake Dawson (CRD# 5418933) suspended him over allegations he took a loan from a customer in violation of firm policy. A former representative of Merrill Lynch who is currently an advisor at Caitlin John, Dawson was suspended for 45… Read More »
Hector Villalta: JP Morgan Broker Suspended Over Outside Business Activity Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Culver City, California broker Hector Villalta (CRD# 5857282) suspended him over allegations he participated in an undisclosed outside business activity. A representative of JP Morgan Securities, Villalta was suspended for two months and fined $5,000. According to a Letter of Acceptance, Waiver and… Read More »
Mark Saunders: FINRA Suspended Edward Jones Rep Over Unauthorized Trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Monroe City, Missouri broker and investment advisor Mark Saunders (CRD# 3060799) suspended him over allegations of unauthorized trading. A former representative of Edward Jones, Saunderswas suspended for 30 days and fined $7,500. According to a Letter of Acceptance, Waiver and Consent (No. 2018058028601)… Read More »
Michael Norman: FINRA Barred Nevada NYLife Broker; Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Reno, Nevada broker Michael Norman (CRD# 2092589) barred him after finding he failed to cooperate with an investigation into allegations he loaned money to a customer. A former representative of NYLife Securities, Norman was barred from acting as a broker or otherwise associating… Read More »
Noel Carino: FINRA Barred General Securities Advisor Over Alleged Outside Business Activities
A disciplinary action taken by the Financial Industry Regulatory Authority against former North Kansas City, Missouri broker and investment advisor Noel Carino (CRD# 3159932) barred him after finding he failed to cooperate with an investigation into allegations he participated in unapproved outside business activities. A former representative of General Securities Corporation, Carinowas barred from acting as… Read More »
Sean Waters: FINRA Barred Former Newbridge, Financial West Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Los Angeles, California broker and investment advisor Sean Waters (CRD# 4414180) barred him over allegations of excessive and unsuitable trading. A former representative of Newbridge Securities Corporation and Financial West Group, Waters was barred from acting as a… Read More »
Frank Dietrich: Quest Capital Advisor Barred by FINRA; Woodbridge Notes
A disciplinary action taken by the Financial Industry Regulatory Authority against former Lake Forest, California broker and investment advisor Frank Dietrich (CRD# 2506091) barred him over allegations he solicited investors to purchase Woodbridge notes without providing his firm with prior written notice. A former representative of Quest Capital Strategies, Dietrich was barred from acting as a broker… Read More »
Robert Basile: FINRA Barred California Waddell & Reed Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Riverside, California broker and investment advisor Robert Basile (CRD# 2392772) barred him over allegations he converted the funds of an elderly customer. A former representative of Waddell & Reed, Basile was barred from acting as a broker or otherwise associating with a broker-dealer firm. According… Read More »
Melissa Alverio: Pennsylvania Vanguard Broker Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Malvern, Pennsylvania broker Melissa Alverio (CRD# 5844392) barred her over allegations she improperly used customer and firm funds. A former representative of Vanguard Marketing Corporation, Alveriowas barred from acting as a broker or otherwise associating with a broker-dealer firm. According to a… Read More »
Marc Last: Pennsylvania NYLife Broker Barred by FINRA; Conversion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Berwyn, Pennsylvania broker Marc Last (CRD# 6366775) barred him over allegations he converted funds from a customer’s variable annuity account. A former representative of NYLife Securities, Last was barred from acting as a broker or otherwise associating with a broker-dealer firm. According… Read More »
