Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Austin Broker James Gallego Barred by FINRA
Former CUSO Financial Services broker James Gallego (CRD# 6226068) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he refused to cooperate with an investigation into his “potential involvement” in the movement of a customer’s funds. Formerly associated with the firm’s branch office in Austin, Texas, he was barred from… Read More »
Demaurio Clark: Wells Fargo Broker Barred Over Conversion Allegations
Demaurio Clark (CRD# 6945280), formerly a representative of Wells Fargo Clearing Services in Acworth, Georgia, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) over allegations he converted an elderly customer’s funds and used them for his personal expenses. According to a Letter of Acceptance, Waiver and Consent (No. 2019064268201) dated March 2020,… Read More »
Stifel Nicolaus Broker Steven Rodemer Barred: Conversion Allegations
Steven Rodemer (CRD# 830561), who used to be a representative of Stifel Nicolaus & Company in Pueblo, Colorado, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he took a client’s funds for his own personal use. He has been barred from acting as a broker. According to a Letter… Read More »
Dana Vietor: Dallas Broker Barred Over Deposit Agreement Sales
Dana Vietor (CRD# 873129), formerly a representative of CFD Investments in Dallas, Texas, was recently barred by the Financial Industry Regulatory Authority in connection to allegations he engaged in private securities transactions involving the sales of promissory note products known as Deposit Agreements. According to a Letter of Acceptance, Waiver and Consent (No. 2018060199101)… Read More »
Ex-Kestra Broker James Daughtry Barred Over Trading Allegations
James Daughtry (CRD# 3272282), formerly a representative of Kestra Investment Services in Dothan, Alabama, was recently sanctioned by the Financial Industry Regulatory Authority and barred over allegations he refused to cooperate with an investigation into whether he made potentially fraudulent and unauthorized trades. According to a Letter of Acceptance, Waiver and Consent (No. 2020065293201)… Read More »
Dan Arcuri: FINRA Bars Ex-Thrivent Broker, Alleges Funds Misuse
Dan Arcuri (CRD# 2200431), formerly a financial professional in Greensburg, Pennsylvania, has been sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he did not cooperate with an investigation into whether he engaged in outside business activities and misused customer funds. Formerly registered with Thrivent Investment Management, Arcuri was barred from… Read More »
Red Bank Broker Andre Davis Barred Over Unsuitable Trades
Former First Standard Financial broker Andre Davis (CRD# 1417097) has been sanctioned by the Financial Industry Regulatory Authority over allegations he engaged in excessive and unsuitable trading in his customers’ accounts. Previously associated with the firm’s office in Red Bank, New Jersey, he was barred from associating with FINRA member firms. According to an… Read More »
Louis Cook: Ex-National Planning Broker Sanctioned, Barred
Louis Cook (CRD# 2469412), formerly a financial professional in Staten Island, New York and Knoxville, Tennessee, was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection to allegations he made misrepresentations to customers and misused their funds. Formerly registered with National Planning Corporation and Securities Service Network, Cook… Read More »
San Diego Broker Marty Batstone Barred by FINRA
Former Newbridge Securities Corporation broker Marty Batstone (CRD# 2171601) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he converted his customers’ funds for his own personal use. Previously registered with the firm’s branch office in San Diego, California, Batstone was barred from acting as a broker. According to an… Read More »
Ron Hannes: Ex-Woodbury Rep Barred Over Conversion Allegations
Ron Hannes (CRD# 1462241), formerly a financial professional in Spokane, Washington, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he converted customer funds. Formerly registered with Woodbury Financial Services, Hannes has been barred from acting as a broker. According to a Letter of Acceptance, Waiver and Consent (No. 2019064915301)… Read More »
