Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Jeff Nimmow: FINRA Bars Ex-Forest Securities Broker
Former Hillside, Illinois broker Jeff Nimmow (CRD# 2693601) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority. He was barred in connection to allegations he improperly engaged in the sale of promissory notes. According to a Letter of Acceptance, Waiver and Consent (No. 2018057522001) dated February 2020, Jeff Nimmow… Read More »
Century Securities Broker Daniel Castoriano Suspended, Fined
Daniel Castoriano (CRD# 4229838), formerly a broker based in New Orleans, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA) in connection to allegations of unauthorized trading. Previously associated with Century Securities Associates and LPL Financial in New Orleans, Louisiana, Castoriano was issued a 20-day suspension and a fine of $5,000. According to… Read More »
Keith Rich: Ex-JP Morgan, PFS Broker Suspended Over Outside Business
Former Marietta, Georgia broker Keith Rich (CRD# 6272427) has been sanctioned by the Financial Industry Regulatory Authority (FINRA) over allegations he improperly participated in an outside business activity. Formerly a representative of JP Morgan Securities in Marietta and PFS Investments in Snellville, Georgia, Rich was issued a 45-day suspension and a fine of $5,000…. Read More »
Santa Fe Broker Tom Martin Suspended: Discretion Allegations
Tom Martin (CRD# 4500330), a broker formerly registered with Edward Jones, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he exercised discretion in customer accounts without proper authorization. Currently a representative of EK Riley Investments in Santa Fe, New Mexico, Martin was issued a 15-day suspension and a fine… Read More »
Kevin Meadows: Columbus Broker Suspended Over Unsuitable Trades
Former Cape Securities broker Kevin Meadows (CRD# 2878889) was recently the subject of a sanction by the Financial Industry Regulatory Authority in connection to allegations he engaged in excessive and unsuitable trading. Previously based in the firm’s office in Columbus, Ohio, Meadows was issued a three-month suspension. According to a Letter of Acceptance, Waiver… Read More »
Kerry Wills: First Western Broker Suspended Over Customer Loan
Manhattan Beach broker Kerry Wills (CRD# 1353739) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly took a loan from a customer. A representative of First Western Securities, Wills was issued a six-month suspension and a fine of $10,000. According to a Letter of Acceptance, Waiver and Consent… Read More »
Dallas Broker Mason Gann Suspended: Unsuitable Options Strategy
Mason Gann (CRD# 4030936), a financial professional formerly registered as a broker with Berthel Fisher & Company, was recently the subject of disciplinary action by the Financial Industry Regulatory Authority, sanctioning him in connection to allegations he recommended and executed an unsuitable options strategy. A representative in the firm’s branch office in Dallas, Texas,… Read More »
Robert Spiegel: Staten Island Broker Suspended; Churning Allegations
Former First Standard Financial Company broker Robert Spiegel (CRD# 5861656) was recently the subject of a sanction by the Financial Industry Regulatory Authority in connection to allegations of excessive and unsuitable trading. Previously based in the firm’s office in Staten Island, New York, Spiegel was issued a four-month suspension and a fine of $5,000…. Read More »
Sean Waggoner: Ex-LPL Broker Suspended Over Alleged Private Transactions
Houston broker Sean Waggoner (CRD# 2748574) was recently the subject of disciplinary action by the Financial Industry Regulatory Authority, sanctioning him in connection to allegations of unauthorized trading. A representative of Cetera Advisor Networks who was formerly associated with LPL Financial in Houston, Texas, Waggoner was issued a two-month suspension and a fine of… Read More »
Aaron Sheehy: Ex-NYC Broker Suspended Over Discretion Allegations
Former Morgan Stanley broker Aaron Sheehy (CRD# 1847401) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly exercised discretion in a customer’s account. Formerly a representative at the firm’s New York City office, Sheehy was issued a 20-day suspension and a fine of $5,000. According to a Letter… Read More »
