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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Paul Wishingrad: UBS Advisor Suspended Over Discretion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Beverly Hills, California broker and investment advisor Paul Wishingrad (CRD# 1311357) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A representative of UBS Financial Services, Wishingrad was suspended for 15 days and fined $5,000. According to a Letter of… Read More »
Kristian Gaudet: Former Ameritas Broker Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cut Off, Louisiana broker Kristian Gaudet (CRD# 4190811) barred him after finding he failed to cooperate with an investigation into allegations he used customer funds for his own personal purposes. A former representative of Ameritas Investment Group, Gaudet was barred from acting… Read More »
Jay Weiser: Former DesPain Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Collinsville, Illinois broker and investment advisor Jay Weiser (CRD# 1511042) barred him after finding he failed to cooperate with an investigation into whether he participated in unapproved private securities transactions. A former representative of DesPain Financial Corporation, Weiser was barred from acting… Read More »
Mark Lamendola: FINRA Bars Former World Capital Brokerage Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cranberry Township, Pennsylvania broker and investment advisor Mark Lamendola (CRD# 1133485) barred him over allegations he made misrepresentations to a customer regarding an annuity investment. A former representative of World Capital Brokerage, Lamendola was barred from acting as a broker or otherwise… Read More »
Stewart Malloy: FINRA Bars Former Morgan Stanley Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Riverhead, New York broker Stewart Malloy (CRD# 1029931) barred him after finding he appeared to appear and provide FINRA-requested testimony concerning customer complaints and other allegations against him. A former representative of Morgan Stanley, Malloy was barred from acting as a broker… Read More »
Charles Gonzalez Sanctioned: Outside Business Activity Allegations Against Former Spartan Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Charles Gonzalez (CRD# 4330269) barred him over allegations he participated in an undisclosed outside business activity. A former representative of Spartan Capital Securities, Gonzalez was barred from acting as a broker or otherwise associating with a broker-dealer firm…. Read More »
FINRA Bars Former Pruco Broker Joe Varghese
A disciplinary action taken by the Financial Industry Regulatory Authority against former Howard Beach, New York broker Joe Varghese (CRD# 4197007) barred him after he failed to appear for testimony related to a FINRA investigation into allegations he participated in unauthorized trading. A former representative of Pruco Securities, Varghese was barred from acting as… Read More »
Guy Waltman: UBS Broker Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Princeton, New Jersey broker Guy Waltman (CRD# 1540766) suspended him over allegations he failed to disclose to his member firm that he had investment control over a customer’s accounts at other broker-dealers. A representative of UBS Financial Services, Waltman was fined $5,000 and… Read More »
Thomas Sova: Hornor Townsend & Kent Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Baton Rouge, Louisiana broker and investment advisor Thomas Sova (CRD# 431135) suspended him over allegations he participated in undisclosed and unapproved private securities transactions. A former representative of Hornor Townsend & Kent, Sova was fined $5,000 and suspended for five months. According… Read More »
Thomas Lisa: Former Wilmington Capital Broker Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Thomas Lisa (CRD# 1540766) suspended him over allegations he participated in undisclosed outside business activities. A former representative of Wilmington Capital Securities, Lisa was fined $7,500 and suspended for four months. According to a Letter of Acceptance, Waiver… Read More »
