Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Andrew Grant: Laidlaw Broker Suspended Over Discretion Use
Andrew Grant (CRD# 2709882), a broker currently based in Melville, New York, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he effected discretionary transactions without proper authorization. A representative of Laidlaw & Company, Grant was issued a 15-day suspension and a fine of $5,000. According to a Letter of… Read More »
Spartan Broker Albert Foronda Suspended, Fined $7,500
New York City broker Albert Foronda (CRD# 5737620) was recently the subject of disciplinary action by the Financial Industry Regulatory Authority, sanctioning in connection to allegations of unauthorized trading. A representative of Spartan Capital Securities who was formerly associated with Worden Capital Management in Guaynabo, Foronda was issued a 45-day suspension and a fine… Read More »
Julian Munoz: FINRA Suspends Independent Financial Group Broker
Guaynabo, Puerto Rico broker Julian Munoz (CRD# 4773991) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly borrowed money from a customer. A representative of Independent Financial Group who was formerly associated with Santander Securities in Guaynabo, Munoz was issued a three-month suspension and a fine of $5,000…. Read More »
Ex-LPL Financial Broker Jason LaBelle Suspended, Fined $5,000
Former Pittsfield, Massachusetts broker Jason LaBelle (CRD# 5654529) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he engaged in undisclosed outside business activities. Formerly a representative of LPL Financial, LaBelle was issued a three-month suspension and a fine of $7,500. According to a Letter of Acceptance, Waiver and Consent… Read More »
James Willing: FINRA Suspends Boston Broker Over Private Transactions
James Willing (CRD# 468560), a broker currently associated with Moors & Cabot, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he participated in undisclosed private securities transactions. Formerly a representative of Morgan Stanley in Boston, Massachusetts, Willing was issued a 35-day suspension and a fine of $7,500. According to… Read More »
Robert D’Andria: Spring Lake Broker Suspended Over ETP Sales
International Assets Advisory broker and investment adviser Robert D’Andria (CRD# 1916172) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations of unsuitable exchange-traded product sales. Currently associated with the firm’s branch office in Spring Lake, New Jersey, D’Andria was issued a 2-month suspension and a fine of $5,000. According to… Read More »
Ex-Vestech Broker Randy Carpen Barred: Excessive Trading Allegations
Former St. Louis-based broker Randy Carpen (CRD# 2469877) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority barring him in connection to allegations he engaged in excessive trading in a customer account. According to a Letter of Acceptance, Waiver and Consent (No. 2017052698601) dated January 2020, Randy Carpen was… Read More »
Antonio Puente: Miami Broker Barred by FINRA
Antonio Puente (CRD# 2695224), formerly a broker registered with Valic Financial Advisors, has been barred by the Financial Industry Regulatory Authority in connection to allegations of potential undisclosed business activities and/or private securities transactions. According to a Letter of Acceptance, Waiver and Consent (No. 2018059909701) dated January 2020, Antonio Puente was registered with Valic… Read More »
Kari Bracy: Ex-NYLife Broker Barred After Future Income Payments Probe
Kari Bracy (CRD# 5656186), a financial professional previously working as a broker in Jacksonville Beach, Florida, has been barred by the Financial Industry Regulatory Authority over allegations involving the potential misuse of customer funds and a potential undisclosed outside business activity. According to a Letter of Acceptance, Waiver and Consent (No. 2018059595101) dated… Read More »
FINRA Bars Ex-MML Broker Charles Evan Over Insurance Sales Practices
Former MML Investors Services broker and investment adviser Charles Evan (CRD#836083) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection with allegations he engaged in inappropriate sales practices. Formerly a representative at the firm’s office in Wellesley, Massachusetts, Evan was barred from acting as a broker. According… Read More »
