Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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FINRA Bars Ex-Merrill Lynch Broker Zachary Wagner
Zachary Wagner (CRD# 6694074), formerly a broker and investment adviser in Gilbert, Arizona, was recently 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. 2018060065701) dated January 2020, Zachary Wagner… Read More »
Paul Petrillo: Ex-Thrivent Broker Barred Over Discretionary Trades
Paul Petrillo (CRD# 2212735), a financial professional formerly based in Volo, Illinois, was recently sanctioned by the Financial Industry Regulatory Authority over allegations he improperly placed discretionary trades in customers’ outside accounts. The former Thrivent Investment Management representative was barred from acting as a broker. According to a Letter of Acceptance, Waiver and Consent… Read More »
FINRA Bars Kestra Rep Gabriel Hynes: Future Income Payments
Former Kestra Investment Services broker and investment adviser Gabriel Hynes (CRD# 3152541) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection to allegations he did not provide testimony requested during FINRA’s investigation into his sale of investments in Future Income Payments, LLC. Formerly a representative at the… Read More »
Shlomo Strugano: Ex-First Allied Broker Barred; Forgery Allegations
Shlomo Strugano (CRD# 3108780), a financial professional formerly based in Reseda, California, was recently barred by the Financial Industry Regulatory Authority over allegations he refused to testify during an investigation into whether he forged or falsified customer signatures. According to a Letter of Acceptance, Waiver and Consent (No. 2018060982602) dated January 2020, Shlomo Strugano… Read More »
John Chrysadakis: Norwalk Broker Barred Over Forgery Allegations
Former Northwestern Mutual Investment Services broker John Chrysadakis (CRD# 5680661) was recently barred by the Financial Industry Regulatory Authority in connection to allegations he refused to cooperate with an investigation into allegations of fraudulent activity, including forgery of insurance forms. According to a Letter of Acceptance, Waiver and Consent (No. 2018060563201) dated January 2020,… Read More »
FINRA Bars Peoria Rep Stephen Carver: Customer Complaint
Former LifeMark Securities broker Stephen Carver (CRD# 2230161) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection to allegations he did not produce information requested during FINRA’s investigation into a customer complaint against him. Formerly a representative at the firm’s office in Peoria, Illinois, Carver was barred… Read More »
John Cahill: Saddle River Broker Barred Over Conversion Allegations
John Cahill (CRD# 1240551), a financial professional formerly associated with Janney Montgomery Scott, was recently barred by the Financial Industry Regulatory Authority in connection to allegations he failed to fully cooperate with an investigation into whether he converted a former customer’s funds. According to a Letter of Acceptance, Waiver and Consent (No. 2019061661601) dated… Read More »
Birmingham Broker Joseph Lawrence Suspended: Unauthorized Trades
Former Wells Fargo Clearing Services broker and investment adviser Joseph Lawrence (CRD# 5605961) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations of unauthorized trading. Previously a representative at the firm’s branch office in Birmingham, Alabama, Lawrence was issued a 3-month suspension and a fine of $5,000. According to a… Read More »
John Carneglia: NYC Broker Suspended, Fined $15,000
Former BNP Paribas securities broker John Carneglia (CRD# 4404911) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he did not disclose his interest in an outside brokerage account. Previously a representative at the firm’s branch office in New York City, Carneglia was issued a two-month suspension and a fine… Read More »
Wells Fargo Broker Glen Webster Sanctioned Over Customer Loan
Former Appleton, Wisconsin broker Glen Webster (CRD# 4839854) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly borrowed money from a customer. Previously a representative at Wells Fargo Clearing Services, Webster was suspended for three months. According to a Letter of Acceptance, Waiver and Consent (No. 2019061193201) dated… Read More »
