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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Justine Zhou: Littleton Broker Sanctioned Over Private Transactions
Justine Zhou (CRD# 2825595), a broker previously registered with The Leaders Group, was barred by the Financial Industry Regulatory Authority in connection to allegations she engaged in undisclosed and unauthorized private securities transactions. She was formerly based at the firm’s Littleton, Colorado branch office. According to a Letter of Acceptance, Waiver and Consent (No…. Read More »
FINRA Bars Ex-Merrill Lynch Advisor Linan Abrego
Linan Abrego (CRD# 6122105), formerly an investment professional based in McAllen, Texas, was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection to allegations she falsified insurance applications. A former representative of Merrill Lynch, Abrego was barred from acting as a broker. According to a Letter of Acceptance,… Read More »
FINRA Sanctions Nampa, Idaho Broker Bryce Vance
Former Farmers Financial Solutions broker/adviser Bryce Vance (CRD# 6499644) has been sanctioned by the Financial Industry Regulatory Authority following allegations he falsified insurance applications. Previously registered with the firm’s branch office in Nampa, Idaho, Vance was permanently barred from acting as a broker. According to a Letter of Acceptance, Waiver and Consent (No. 2018057094902)… Read More »
Columbus Broker Bob Meyers Sanctioned: Private Equity Trades
Former Wells Fargo Clearing Services broker Bob Meyers (CRD# 1409245), who is currently registered as an investment adviser with Meyers Wealth Management in Columbus, Ohio, was recently the subject of a FINRA sanction over allegations he exercised engaged in undisclosed and unapproved private securities transactions. Meyers was issued a 12-month suspension and a fine… Read More »
Jennifer McKay: FINRA Sanctions Merrill Lynch Advisor
The Financial Industry Regulatory Authority recently sanctioned former Glen Rock, New Jersey broker/adviser Jennifer McKay (CRD# 6637784) over allegations she she altered customer documents. Previously a representative of Merrill Lynch, Cramer was issued a three-month suspension and a fine of $5,000. According to a Letter of Acceptance, Waiver and Consent (No. 2017056524801) dated October… Read More »
El Paso Broker Steve Yellen Suspended, Fined $25,000
Former Ameriprise Financial Services broker/adviser Steve Yellen (CRD# 1281663) has been sanctioned by the Financial Industry Regulatory Authority over allegations he improperly exercised discretion in his customers’ accounts. Previously registered at the firm’s office in El Paso, Texas, Yellen was issued a yearlong suspension and a fine of $25,000. According to a Letter of… Read More »
Jose Cornide of UBS Complaints Regarding Options Overlay Strategy
Pending complaints against UBS Financial Services broker and investment advisor Jose Cornide (CRD# 2785918) allege the Coral Gables, Florida-based representative misrepresented and recommended an unsuitable options overlay strategy. Information drawn from Financial Industry Regulatory Authority records reflects investor complaints for damages between $500,000 and $10 million. The complaints all appear to relate to the… Read More »
Dennis Mehringer: FINRA Bars Pasadena Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Pasadena, California broker and investment advisor Dennis Mehringer (CRD# 722569) barred him after finding he failed to provide testimony connected with its investigation into possible unsuitable trading. A former representative of Western International Securities, Mehringer was barred from acting as a broker… Read More »
Mariondy Fernandez: Complaints Against Dorchester Financial Advisor
Settled and pending investor complaints against former Dorchester, Massachusetts broker Mariondy Fernandez (CRD#: 2391134) allege conduct including fraud, breach of fiduciary duty, over-concentration, and more. Fernandez is a former representative of Santander Securities, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges violations of securities laws and rules,… Read More »
Gary Meier: Complaints Against Vancouver Financial Advisor
Settled and pending investor complaints against former Vancouver, Washington broker and investment advisor Gary Meier(CRD#: 1591561) allege conduct including suitability violations, breach of fiduciary duty, negligence, and more. Meier is a former representative of Cambridge Investment Research, according to information drawn from Financial Industry Regulatory Authority records. A pending 2019 complaint alleges that as… Read More »
