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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Derrick Trussell: San Antonio Financial Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former San Antonio, Texas broker and investment advisor Derrick Trussell (CRD# 5197550) barred him after finding he refused to provide information in connection with a FINRA investigation into possible misconduct. A former representative of PFS Investments, Trussell was barred from acting as a… Read More »
Oscar Francis: SEC Bars Fort Lauderdale Financial Advisor
A disciplinary action taken by the Securities and Exchange Commission (SEC) against former Fort Lauderdale, Florida broker and investment advisor Oscar Francis (CRD# 5094722) barred him in connection to allegations he devised a scheme to defraud his clients out of more than $600,000 in funds. A former representative of MML Investors Services, Francis was… Read More »
Thomas Parker: Brentwood, Tennessee Financial Advisor Censured by SEC
A disciplinary action taken by the Securities and Exchange Commission (SEC) against Brentwood, Tennessee broker and investment advisor Thomas Parker (CRD# 356789) barred him over allegations he breached his fiduciary duty and provided inadequate disclosures in the connection with his mutual fund share class selection practices. A representative of Thoroughbred Financial Services, Parker was… Read More »
Wills Henriquez: Brooklyn Broker Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Brooklyn, New York broker Wills Henriquez (CRD# 1872198) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A former representative of Network 1 Financial Securities, Henriquez was suspended for 45 days and ordered to pay a fine of $7,500…. Read More »
Andrew Lowe: FINRA Suspends Centre, Alabama Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Centre, Alabama broker and investment advisor Andrew Lowe (CRD# 4636118) suspended him over allegations he engaged in unsuitable trading of Class A mutual fund shares. A former representative of Dempsey Lord Smith, Lowe was suspended for nine months and ordered to pay… Read More »
Michael Spolar: FINRA Suspended Orlando Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Orlando, Florida broker and investment advisor Michael Spolar (CRD# 2192992) suspended him over allegations he improperly exercised discretionary authority in client accounts. A former representative of International Assets Advisory, Spolar was suspended for 15 months. According to a Letter of Acceptance, Waiver… Read More »
Kyusun Kim: San Diego Financial Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former San Diego, California broker and investment advisor Kyusun Kim (CRD# 2864085) barred him over allegations he made unsuitable investment recommendations to senior customers. A former representative of Independent Financial Group and Sandlapper Securities, Kim was barred from acting as a broker or… Read More »
Steven Knuttila: Perham, Minnesota Financial Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former Perham, Minnesota broker and investment advisor Steven Knuttila (CRD# 3039112) barred him after finding he refused to appear for testimony during FINRA’s investigation into allegations of unsuitable trading. A former representative of Capital Financial Services, Knuttila was barred from acting as a… Read More »
Harold Connell: Miami Financial Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Miami, Florida financial advisor Harold Connell (CRD# 1482623) barred him over allegations he participated in the sale of unregistered Regulation D offerings “through misrepresentations and omissions.” A former representative of CP Capital Securities, Connell was barred from acting as a broker or… Read More »
Christopher Wendel: Celina, Ohio Financial Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former Celina, Ohio broker Christopher Wendel (CRD# 1930870) barred him over allegations he participated in private securities transactions involving the solicitation of customers to invest in Woodbridge notes. A former representative of SA Stone Wealth Management, Wendel was barred from acting as a… Read More »
