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
Chris Kubiak: FINRA Bars Brookfield, Wisconsin Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Brookfield, Wisconsin broker Chris Kubiak (CRD# 1527367) barred him over allegations he converted customer funds. A former representative of Calton & Associates and Freedom Investors Corporation, Kubiak was barred from acting as a broker or otherwise associating with a broker-dealer firm. According… Read More »
John Buck: FINRA Bars Boston, Massachusetts Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boston, Massachusetts broker and investment advisor John Buck (CRD# 34383) barred him after finding he failed to cooperate with an investigation into allegations he was potentially involved in private securities transactions. A former representative of Morgan Stanley, Buck was barred from acting… Read More »
FINRA Bars Boca Raton Advisor Wilfred Rodriguez
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida broker and investment advisor Wilfred Rodriguez (CRD# 2504369) barred him after finding he failed to cooperate with an investigation into allegations he converted customers’ funds and concealed his activities by falsifying account documents. A former representative of Wells Fargo… Read More »
Jon Pariser: FINRA Bars Pacific Grove, California Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Pacific Grove, California broker Jon Pariser (CRD# 2755015) barred him after finding he failed to cooperate with an investigation into allegations he referred customers to an unregistered individual who may have recommended or sold unsuitable investments. A former representative of Independent Financial… Read More »
Michael Gamez: Corsicana, Texas Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Corsicana, Texas broker and investment advisor Michael Gamez (CRD# 4942235) suspended him over allegations he effected unauthorized discretionary trades. A former representative of Maplewood Investment Advisors, Gamez was fined $20,000 and suspended for one year. According to a Letter of Acceptance, Waiver… Read More »
David Fagenson: Boca Raton Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida broker and investment advisor David Fagenson (CRD# 1652012) suspended him over allegations he engaged in unsuitable trading in three customers’ accounts. A former representative of Newbridge Securities Corporation, Fagenson was suspended for eight months. According to a Letter of… Read More »
Richard Juracka: New York City Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against New York City broker and investment advisor Richard Juracka (CRD# 708735) suspended him over allegations he exercised discretion without authorization. A representative of Morgan Stanley, Juracka was suspended for 20 days and fined $5,000. According to a Letter of Acceptance, Waiver and Consent… Read More »
Raymond Pirrello: Former Garden State Securities Rep Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Hackensack, New Jersey broker Raymond Pirrello (CRD# 2782019) suspended him over allegations he attempted to settle customer complaints away from his firm and used unauthorized methods to engage in business communications. A former representative of Garden State Securities, Pirrellowas suspended for 45 days… Read More »
John Neely: Former Berthel Fisher Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Russellville, Arkansas broker and investment advisor John Neely (CRD# 501565) suspended him over allegations he exercised unauthorized discretion in hundreds of transactions. A representative of St. Bernard Financial Services who was previously registered with Berthel Fisher in Oklahoma, Neely was suspended for 15… Read More »
Carol Holesha: Former LPL Broker Suspended Over Client Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Chicago, Illinois broker Carol Holesha (CRD# 1490209) suspended her over allegations she took a loan from a customer without notifying her member firm. A former representative of LPL Financial, Holesha was suspended for five months and fined $7,500. According to a Letter… Read More »
