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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Nicholas Radke: Former MML Broker Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Irvine, California and Lake Oswego, Oregon broker Nicholas Radke (CRD# 2610246) barred him after finding he failed to cooperate with an investigation into allegations of unapproved private securities transactions. A former representative of MML Investors Services and American Independent Securities Group, Radke was… Read More »
Ralph Von Lutzow: FINRA Bars Former Oberweis Advisor; Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Sarasota, Florida broker Ralph Von Lutzow (CRD# 455680) barred him over allegations accepted unapproved loans from a firm customer and participated in private securities transactions. A former representative of Oberweis Securities, Von Lutzow was barred from acting as a broker or otherwise associating with… Read More »
Mitchell Kurtz: FINRA Barred Former Henley & Company Advisor; $1.1 Million Complaint
A disciplinary action taken by the Financial Industry Regulatory Authority against former Roslyn Heights, New York broker and investment advisor Mitchell Kurtz (CRD# 2437746) barred him after finding he failed to provide documents and information requested by FINRA as part of an investigation into allegations of activity including outside business activities and selling away…. Read More »
Guy Wyser-Pratte: FINRA Suspends New York Broker; Insider Trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Bedford, New York broker Guy Wyser-Pratte (CRD# 473794) suspended him over allegations he failed to disclose a finding by French securities regulators that he committed insider trading. A former representative of Wyser-Pratte & Company, he was suspended for six months and fined… Read More »
Bruce Zaro: FINRA Suspended Bolton Global Capital Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Providence, Rhode Island broker and investment advisor Bruce Zaro (CRD# 1271065) suspended him over allegations he signed a customer’s name without the customer’s knowledge or authorization. A representative of International Assets Advisory and former representative of Bolton Global Capital in Plymouth, Massachusetts, Zaro… Read More »
Greg Rusnak: FINRA Suspends Former Sigma Advisor; Discretion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former St. Charles, Illinois broker and investment advisor Greg Rusnak (CRD# 1505212) suspended him over allegations he improperly exercise discretion in customer accounts. A former representative of Sigma Financial Corporation, Rusnak was suspended for 10 days and fined $5,000. According to a Letter… Read More »
Bonnie Fox: Former SunTrust Advisor Suspended Over Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Hampton, Virginia broker and investment advisor Bonnie Fox (CRD# 3206840) suspended her over allegations she borrowed money from a customer in violation of firm policy. A former representative of SunTrust Investment Services, Fox was suspended for three months. According to a Letter of… Read More »
Gary Pevey: FINRA Suspends Former Mutual Securities Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Sacramento, California broker and investment advisor Gary Pevey (CRD# 2129469) suspended him over allegations he participated in unapproved private securities transactions. A former representative of Mutual Securities, Pevey was suspended for 10 days and fined $5,000. According to a Letter of Acceptance,… Read More »
Frank Venable III: Morgan Stanley Advisor Suspended Over Discretion Use
A disciplinary action taken by the Financial Industry Regulatory Authority against Nashville, Tennessee broker and investment advisor Frank Venable III (CRD# 1461515) suspended him over allegations he improperly exercised discretion in customer accounts. A representative of Morgan Stanley, Venable was suspended for 10 days and fined $5,000. According to a Letter of Acceptance, Waiver… Read More »
Suresh Basnet: Former Voya, CoreCap Advisor Sanctioned by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cedar Rapids, Iowa broker and investment advisor Suresh Basnet (CRD# 4426976) suspended him over allegations he participated in undisclosed private securities transactions. A former representative of Voya Financial Advisors, Basnet was suspended for 45 days and fined $5,000. According to a Letter… Read More »
