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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George McCaffrey: Englewood, Colorado Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Englewood, Colorado broker and investment advisor George McCaffrey (CRD# 847377) suspended him over allegations he participated in undisclosed private securities transactions involving nine investors. A former representative of NTB Financial, McCaffrey was suspended for 18 months and fined $15,000. According to a… Read More »
Richard Yada: FINRA Suspends Little Rock Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Little Rock, Arkansas broker and investment advisor Richard Yada (CRD# 1077317) suspended him over allegations he exercised discretion in customer accounts without authorization. A former representative of LPL Financial, Yada was suspended for two months and fined $5,000. According to a Letter… Read More »
Matthew Eckstein: Syosset Financial Advisor Sanctioned
A disciplinary action taken by the Financial Industry Regulatory Authority against former Syosset, New York broker Matthew Eckstein (CRD# 2997245) barred him over allegations he sold more than $1.3 million in “undocumented” investments that were part of a “spurious investment scheme.” A former representative of Sisk Investment Services and Gould Ambroson & Associates, Eckstein… Read More »
Robert Clark: FINRA Bars Boston Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boston, Massachusetts broker and investment advisor Robert Clark (CRD# 810261) barred him after finding he failed to provide testimony requested as part of its investigation into whether he used customer funds for his own purposes. A former representative of Moors & Cabot,… Read More »
David Bolton: FINRA Bars Bowling Green Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Bowling Green, Kentucky broker and investment advisor David Bolton (CRD# 5038018) barred him over allegations of unsuitable mutual fund trading. A former representative of Thurston Springer Financial and Signator Investors, Bolton was barred from acting as a broker or otherwise associating with… Read More »
Jeff Kelly: FINRA Bars Getzville Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Getzville, New York broker and investment advisor Jeff Kelly (CRD# 3223982) barred him after finding he failed to provide documents and information requested as part of FINRA’s investigation into whether he converted or misappropriated customer funds. A former representative of Ameriprise Financial… Read More »
Howard Utz: FINRA Bars Mars, Pennsylvania Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Mars, Pennsylvania broker Howard Utz (CRD# 2672208) barred him after finding he failed to provide documents and information requested as part of its review of alleged undisclosed private securities transactions, outside business activities, and conversion of customer funds. A former representative of… Read More »
Jerry Raines: FINRA Bars Kilgore, Texas Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Kilgore, Texas broker Jerry Raines (CRD# 4578689) barred him after finding he failed to provide documents and information connected with its review of allegations he sold promissory notes relating to an unregistered offering, the Woodbridge Group of Companies. A former representative of… Read More »
Donna Barnard: FINRA Bars Kilgore, Texas Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Kilgore, Texas broker Donna Barnard (CRD# 5653949) barred her after finding she failed to provide documents and information connected with its examination of allegations she participated in sales of unregistered notes. A former representative of HD Vest Investment Services, Barnard was barred… Read More »
Stephen Hurtuk: FINRA Bars Boardman, Ohio Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boardman, Ohio broker and investment advisor Stephen Hurtuk (CRD# 5653949) barred him after finding he failed to cooperate with an investigation into allegations of unsuitable trading. A former representative of Stifel Nicolaus & Company, Hurtuk was barred from acting as a broker… Read More »
