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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Donnell Bowen: Washington, DC Financial Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former Washington, DC broker Donnell Bowen (CRD# 5641822) barred him after finding he refused to provide information during its investigation into possible forgeries of customer signatures. A former representative of Northwestern Mutual Investment Services, Bowen was barred from acting as a broker or… Read More »
Eric Korhut: FINRA Suspends Johnstown, Pennsylvania Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Johnstown, Pennsylvania broker and investment advisor Eric Korhut (CRD# 3199787) suspended him over allegations he participated in unauthorized trading in customer accounts. A former representative of Ameriprise Financial Services and Vanderbilt Securities, Korhut was suspended for one month and ordered to pay… Read More »
Jon Sugick: Detroit Financial Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Detroit, Michigan financial advisor Jon Sugick (CRD# 4985852) suspended him over allegations he participated in an outside business activities involving the sales of unapproved commodity products. A representative of NYLife Securities, Sugick was suspended for two months and ordered to pay a… Read More »
Kenny Mezher: San Francisco Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former San Francisco, California broker and investment advisor Kenny Mezher (CRD# 6340715) suspended him over allegations he participated in private securities transactions involving limited partnership investments. A representative of Growth Capital Services, Mezher was suspended for two months and ordered to pay a… Read More »
Matthew Morris: Hopewell, Virginia Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Hopewell, Virginia broker and investment advisor Matthew Morris (CRD# 1212333) suspended him over allegations he falsified customer signatures. A representative of SunTrust Investment Services, Morris was suspended for three months and ordered to pay a fine of $5,000. According to a Letter… Read More »
Charles Bloom: FINRA Bars Royal Palm Beach Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Royal Palm Beach, Florida broker and investment advisor Charles Bloom (CRD# 4144108) barred him after finding he refused to appear for testimony during FINRA’s investigation into possible unsuitable trading. A former representative of Chelsea Financial Services, Bloom was barred from acting as… Read More »
Clarence McGill: Palm Beach Gardens Financial Advisor Sanctioned
A disciplinary action taken by the Financial Industry Regulatory Authority against former Palm Beach Gardens, Florida broker and investment advisor Clarence McGill (CRD# 1838243) barred him after finding he refused to provide information during its investigation into possible unsuitable investment recommendations. A former representative of GWN Securities, McGill was barred from acting as a… Read More »
Michael Gilhooly: Pasadena Financial Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former South Pasadena, California broker and investment advisor Michael Gilhooly (CRD# 2452559) barred him after finding he refused to provide testimony during its investigation into potential trading violations. A former representative of RJJ Pasadena Securities, Gilhooly was barred from acting as a broker… Read More »
Steve Coffey: Towson, Maryland Financial Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former Towson, Maryland and Orrville, Ohio broker and investment advisor Steve Coffey (CRD# 4462225) barred him after finding he refused to provide documents and information connected to its investigation of certain promissory note sales. A former representative of First American Securities and American… Read More »
Paul Soll: Los Angeles Financial Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Los Angeles, California broker Paul Soll (CRD# 430284) barred him after finding he refused to provide testimony during its investigation of possible trading abuses. A former representative of Financial West Group, Soll was barred from acting as a broker or otherwise associating… Read More »
