Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
Read MoreRecent Blog Posts
Bradley Tennison: FINRA Bars Mesa, Arizona Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Mesa, Arizona broker and investment advisor Bradley Tennison (CRD# 1561988) barred him after finding he refused to provide testimony regarding allegations of selling away. A former representative of Geneos Wealth Management, Tennison was barred from acting as a broker or otherwise associating… Read More »
Jamie Kujawski: Annapolis Financial Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Annapolis, Maryland broker and investment advisor Jamie Kujawski (CRD# 2075543) suspended him over allegations he participated in undisclosed private securities transactions. A representative of Ameriprise Financial Services, Kujawski was suspended for four months and ordered to pay a fine of $10,000. According to… Read More »
Jon Iraggi: Morganville, New Jersey Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Morganville, New Jersey financial advisor Jon Iraggi (CRD# 5857254) suspended him over allegations he improperly used discretion in customer accounts. A former representative of National Securities Corporation, Iraggi was suspended for 30 days and ordered to pay a fine of $5,000. According… Read More »
Joseph Eschleman: FINRA Suspended Sacramento Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Sacramento, California broker and investment advisor Joseph Eschleman (CRD# 3237843) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A representative of Purshe Kaplan Sterling Investments, Marino was suspended for ten days and ordered to pay a fine of $5,000…. Read More »
Lloyd Layton: New York City Financial Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against New York City broker and investment advisor Lloyd Layton (CRD# 1618414) suspended him over allegations he engaged in unsuitable short-term trading of unit investment trust products. A representative of Coastal Equities who was formerly registered with Morgan Stanley in Washington, DC, Layton was… Read More »
Alex Herrera: FINRA Bars Coral Gables Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Coral Gables, Florida broker and investment advisor Alex Herrera (CRD# 3204779) barred him after finding he failed to provide documents and information requested as part of its investigation into possible undisclosed outside business activities and private securities transactions. A former representative of… Read More »
Geoff Turner: Savannah, Georgia Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Savannah, Georgia broker and investment advisor Geoff Turner (CRD# 4007735) suspended him over allegations he made unsuitable recommendations of L-share variable annuity contracts. A representative of BB&T Securities, Turner was suspended for 30 days and fined $7,500. According to a Letter of Acceptance,… Read More »
Robert Torcivia: FINRA Suspends Phoenix, Arizona Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Phoenix, Arizona broker and investment advisor Robert Torcivia (CRD# 700880) suspended him over allegations he improperly accepted fiduciary and beneficiary designations from senior customers of his member firm. A former representative of Moors & Cabot, Torcivia was suspended for seven months and… Read More »
Timothy Scherwa: FINRA Suspends Florham Park Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Florham Park, New Jersey broker and investment advisor Timothy Scherwa (CRD# 2743773) suspended him over allegations he improperly exercised discretion in customer accounts. A representative of Capitol Securities Management, Scherwa was suspended for two months and fined $7,500. According to a Letter of… Read More »
Robert Harger: Alexandria Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Alexandria and New Orleans, Louisiana broker and investment advisor Robert Harger (CRD# 863069) suspended him over allegations he allowed his customers to sign incomplete variable annuity exchange forms and fill in the missing information at a later point. A representative of Harger &… Read More »
