Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Brett Levinson: Stifel Nicolaus Broker Sanctioned, Suspended
San Diego-based broker Brett Levinson (CRD# 2644880) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations involving the misuse of customer information. A representative at the firm’s branch office in San Diego, California, Levinson was issued a 30-day suspension and a fine of $5,000. According to a Letter of Acceptance,… Read More »
FINRA Suspends San Antonio Broker Cecil Ross: UIT Trades
Former LPL Financial broker Cecil Ross (CRD# 2391047) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations involving unsuitable trading of unit investment trust products. Currently a representative at International Assets Advisory in San Antonio, Texas, Ross was issued a four-month suspension and a fine of $5,000. According to a… Read More »
Ezri Shechter; Jersey City Broker Suspended, Fined $12,500
Ezri Shechter (CRD# 2772177), formerly a broker associated with Spencer-Winston Securities, has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations involving inauthentic discretionary authorization forms. Currently registered as an investment adviser with CM Capital Partners in Englewood, New Jersey, Shechter was issued a three-month suspension and a fine of $12,500…. Read More »
FINRA Sanctions Miami Broker Kawa Foad: Outside Business
Former Questar Capital broker Kawa Foad (CRD# 5374361) has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations he was involved in two undisclosed outside business activities. Formerly associated with the firm’s branch office in Miami, Florida, Foad was issued a three-month suspension and a fine of $7,500. According to a… Read More »
Robert Allen: FINRA Suspends Ex-Country Capital Broker
Robert Allen (CRD# 6267678), formerly a broker based in Augusta, Georgia, was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority concerning allegations he improperly participated in an outside business activity. Previous a representative of Country Capital Management Company, Allen was issued a three-month suspension and a fine of $5,000…. Read More »
Atlanta Broker William Darby Suspended, Fined $7,500
William Darby (CRD# 1659917), a broker and investment adviser associated with Stifel Nicolaus & Company, has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations involving unauthorized sales. Formerly a representative of UBS Financial Services in Atlanta, Georgia, Darby was issued a 45-day suspension and a fine of $7,500. According to… Read More »
Harvey Frank: FINRA Suspends San Diego Broker
Stifel Nicolaus & Company broker and investment adviser Harvey Frank (CRD# 2109605) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly disclosed customer information. Formerly a representative of Hilltop Securities in San Diego, California, Frank was issued a 30-day suspension and a fine of $5,000. According to a… Read More »
FINRA Suspends Ex-LPL Broker Kathryn Charpie
Former Overland Park, Kansas broker Kathryn Charpie (CRD# 840016) was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority over allegations she took an unapproved loan from a customer. A former representative with LPL Financial, Charpie was issued a three-month suspension and a fine of $5,000. According to a Letter… Read More »
Robert Renteria: FINRA Bars Ex-PFS Investments Broker
Robert Renteria (CRD# 5773053), a financial professional formerly based in El Paso, Texas, was recently barred by the Financial Industry Regulatory Authority in connection to allegations he provided FINRA with false information during its investigation into whether he took an unapproved loan from a customer. According to a Letter of Acceptance, Waiver and Consent… Read More »
John Borsellino: FINRA Suspends Stamford Broker
John Borsellino (CRD# 2006663), a financial professional previously registered with Morgan Stanley, has been sanctioned by the Financial Industry Regulatory Authority in connection to allegations of unsuitable trading. A representative with the firm’s office in Stamford, Connecticut, Borsellino was issued a three-month suspension and a fine of $5,000. According to a Letter of Acceptance,… Read More »
