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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Clay Erickson: FINRA Suspends Salt Lake City Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Salt Lake City, Utah broker Clay Erickson (CRD# 1583644) suspended him over allegations he executed unauthorized variable annuity transactions. A former representative of Hornor Townsend & Kent, Erickson was suspended for 9 months and issued a fine of $7,500. According to a… Read More »
Michael Carter: FINRA Bars McLean, Virginia Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former McLean, Virginia broker and investment advisor Michael Carter (CRD# 3232017) barred him after finding he failed to provide information connected with its investigation into misconduct allegations against him. A former representative of Morgan Stanley, Carter was barred from acting as a broker… Read More »
Craig Siegel: Complaints Against New York City Financial Advisor
Settled and pending investor complaints against former New York City broker Craig Siegel (CRD#: 5759415) allege conduct including suitability violations, negligence, breach of contract, churning, and more. Siegel is a former representative of Portfolio Advisors Alliance, according to information drawn from Financial Industry Regulatory Authority records. A pending 2018 complaint alleges that as a… Read More »
Jeffrey Schwebach: FINRA Suspends Dell Rapids Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Dell Rapids, South Dakota broker and investment advisor Jeffrey Schwebach (CRD# 1606537) suspended him over allegations he participated in private securities transactions without notifying his member firm or receiving its approval. A former representative of Independent Financial Group, Jeffrey Schwebach was suspended… Read More »
Mark Raezer: FINRA Suspends Aurora Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Aurora, Colorado broker Mark Raezer (CRD# 6439772) suspended him over allegations he engaged in unapproved private securities transactions. A former representative of Taylor Capital Management, Raezer was suspended for 10 months and issued a fine of $15,000. According to a Letter of… Read More »
Chuck Laubach: FINRA Suspends Timonum, Maryland Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Timonum, Maryland broker and investment advisor Chuck Laubach (CRD# 1097453) suspended him over allegations he improperly engaged in discretionary trading in customer accounts. A former representative of Capitol Portfolio Management, Laubach was suspended for 10 months and issued a fine of $5,000…. Read More »
Michael Kamperman: FINRA Suspends Waco Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Waco, Texas broker and investment advisor Michael Kamperman (CRD# 2002603) suspended him over allegations he made unsuitable investment recommendations in his customers’ 401(k) and IRA retirement accounts. A former representative of HD Vest, Kamperman was suspended for 18 months and issued a… Read More »
Ron Willoughby: FINRA Suspends Venice, California Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Venice, California broker and investment advisor Ron Willoughby (CRD# 2425926) suspended him over allegations he improperly exercised discretionary authority. A former representative of Kestra Investment Services, Willoughby was suspended for three months and issued a fine of $5,000. According to a Letter… Read More »
Daniel Soliman: FINRA Bars New York City Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Daniel Soliman (CRD# 6053300) barred him after finding he failed to provide testimony connected with its investigation into his trading activities. A former representative of JP Morgan Securities, Soliman was barred from acting as a broker or otherwise… Read More »
George Merhoff: FINRA Bars Klamath Falls Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Klamath Falls, Oregon broker and investment advisor George Merhoff (CRD# 2918171) barred him after finding he failed to provide information connected with its review, among other things, of alleged undisclosed payments to customers. A former representative of Cetera Advisors, Merhoff was barred… Read More »
