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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David Colflesh: FINRA Suspends Tarkio, Missouri Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Tarkio, Missouri broker and investment advisor David Colflesh (CRD# 1184117) suspended him over allegations he recommended customers invest in non-diversified mutual funds without having a reasonable basis to believe they were suitable. A former representative of NYLife Securities, Colflesh was suspended for… Read More »
Eric Kunis: FINRA Suspends Woodbury, New York Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against Woodbury, New York broker Eric Kunis (CRD# 2361728) suspended him over allegations he engaged in unsuitable trading in unit investment trusts (UITs) in customer accounts. A representative of Trident Partners and former representative of Maxim Group, Kunis was suspended for two months and… Read More »
Christopher Herrmann: FINRA Suspends Plainfield Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Plainfield, Indiana investment advisor Christopher Herrmann (CRD# 4123657) suspended him over allegations he recommended unsuitable annuity transactions to retired and elderly customers. A representative of Legacy Wealth Management, Herrmann was suspended for five months and fined $7,500. According to a Letter of Acceptance,… Read More »
John-Aaron Lehnert: Laguna Niguel Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Laguna Niguel, California broker and investment advisor John-Aaron Lehnert (CRD# 5989046) suspended him over allegations he took unapproved loans from customers. A former representative of Morgan Stanley, Lehnert was suspended for five months and fined $7,500. According to a Letter of Acceptance,… Read More »
Skip Dufresne: River Ridge Broker Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against River Ridge, Louisiana broker Skip Dufresne (CRD# 2471091) suspended him over allegations he sold over $1.6 million in unapproved annuity products. A representative of Regulus Advisors, Dufresne was suspended for three months and fined $5,000. According to a Letter of Acceptance, Waiver and… Read More »
Wesley Foltz: Alexandria Broker Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Alexandria, Louisiana broker Wesley Foltz (CRD# 4617507) suspended him over allegations he recommended unsuitable variable annuity investments. A former representative of Prospera Financial Services, Foltz was suspended for 30 days and fined $7,500. According to a Letter of Acceptance, Waiver and Consent… Read More »
Dan Kittner: Mesa, Arizona Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Mesa, Arizona broker and investment advisor Dan Kittner (CRD# 4377296) suspended him over allegations he exercised unauthorized discretion in customer accounts. A former representative of Ameritas Investment Corporation, Kittner was suspended for 60 days and fined $7,500. According to a Letter of… Read More »
David Ferwerda: FINRA Bars Grand Rapids Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Grand Rapids, Michigan broker and investment advisor David Ferwerda (CRD# 832431) barred him after finding he failed to cooperate with an investigation into allegations he participated in unregistered offerings. A former representative of Signator Investors, Ferwerda was barred from acting as a… Read More »
Bruce Plyer: FINRA Bars Morristown Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Morristown, New Jersey broker and investment advisor Bruce Plyer (CRD# 1666324) barred him after finding he failed to cooperate with an investigation into allegations of unauthorized trading. A former representative of International Assets Advisory and Morgan Stanley, Plyer was barred from acting… Read More »
John Simoncic: FINRA Bars Reno, Nevada Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Reno, Nevada broker John Simoncic (CRD# 1062932) barred him over allegations of excessive trading and unsuitable recommendations of non-traditional exchange-traded funds (ETFs). A former representative of Financial West Group, Simoncic was barred from acting as a broker or otherwise associating with a… Read More »
