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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James Anderson: FINRA Bars Dakota Dunes Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Dakota Dunes, South Dakota broker James Anderson (CRD# 4803514) barred him after finding he failed to provide information connected with its investigation into whether he purchased and sold securities away from his member firm. A former representative of Ameritas Investment Corporation, Anderson… Read More »
Thomas Stappas: FINRA Bars Parsippany, New Jersey Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Parsippany, New Jersey broker and investment advisor Thomas Stappas (CRD# 855198) barred him after finding he failed to provide information connected with its investigation into whether he engaged in outside business activities and recommended private securities transactions. A former representative of Summit… Read More »
Donald Teboe: FINRA Bars Clinton, Michigan Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Clinton, Michigan broker Donald Teboe (CRD# 4407610) barred him after finding he failed to appear for testimony as part of its investigation into allegations of unsuitable trading. A former representative of Cantella & Company, Teboe was barred from acting as a broker… Read More »
Scott Gunnip: FINRA Bars Southlake, Texas Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Southlake, Texas broker and investment advisor Scott Gunnip (CRD# 3250539) barred him after finding he failed to appear for testimony connected with its investigation into alleged unsuitable trading. A former representative of Morgan Stanley, Gunnip was barred from acting as a broker… Read More »
Keith Wakefield: FINRA Bars Chicago Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Chicago, Illinois broker and investment advisor Keith Wakefield (CRD# 3250539) barred him after finding he failed to appear for testimony connected with its investigation of allegations he engaged in “trading improprieties.” A former representative of IFS Securities, Wakefield was barred from acting… Read More »
Robert Davis: FINRA Suspends Richmond, Indiana Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Richmond, Indiana broker and investment advisor Robert Davis (CRD# 4662922) suspended him over allegations he made unsuitable trades and improperly exercised discretionary authority. A former representative of LPL Financial, Davis was suspended for 30 days and issued a fine of $5,000. According… Read More »
Michael Kane: FINRA Suspends Virginia Beach Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Virginia Beach, Virginia broker and investment advisor Michael Kane (CRD# 704604) suspended him over allegations he exercised discretionary authority in customer accounts without proper authorization from his customers. A representative of Davenport & Company, Kane was suspended for 15 days and issued a… Read More »
Michael Mackay: FINRA Bars Cincinnati Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cincinnati, Ohio broker and investment advisor Michael Mackay (CRD# 2279775) barred him after finding he failed to provide information connected with its investigation into whether he referred customers to investments unapproved by his member firm. A former representative of Transamerica Financial Advisors,… Read More »
Richard Cagle: FINRA Bars Corpus Christi Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Corpus Christi, Texas broker and investment advisor Richard Cagle (CRD# 2122648) barred him after finding he failed to appear for testimony connected with its investigation of allegations he made unsuitable investment recommendations and mis-marked customer order tickets. A former representative of Hilltop… Read More »
John Atchison: Virginia Beach Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Virginia Beach, Virginia broker and investment advisor John Atchison (CRD# 1284207) suspended him over allegations he engaged in discretionary trading without proper authorization from his customers. A representative of Davenport & Company, Atchison was suspended for 15 days and issued a fine of… Read More »
