Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
Read MoreRecent Blog Posts
Louis Miller: Jericho Rep Barred Over Discretionary Trades
A Financial Industry Regulatory Authority sanction against former LPL Financial broker/adviser Louis Miller (CRD# 3054955) barred him in connection to findings he failed to provide testimony during a FINRA investigation into allegations he improperly exercised discretion in client accounts. Miller was most recently registered as a broker in Jericho, New York. According to an… Read More »
FINRA Bars Danbury Rep Maureen Scalzo: Possible Falsified Forms
Maureen Scalzo (CRD# 1349675), formerly a broker based in Danbury, Connecticut, has been barred by securities industry authorities in connection to findings she failed to provide testimony during a FINRA investigation into possible falsification of customer forms. Publicly available records indicate Scalzo was most recently registered with Benjamin F. Edwards & Company. According to… Read More »
Stephen Klinger: Ex-Wells Fargo Broker Sanctioned
A disciplinary action taken by the Financial Industry Regulatory Authority against former Asheville, North Carolina broker/adviser Stephen Klinger (CRD# 1294139) barred him after finding he failed to provide documents requested as part of a FINRA investigation into allegations he misused client funds. Klinger was formerly registered with Wells Fargo. According to a Letter of… Read More »
Jaime Westenbarger: Ex-Securities America Rep Sanctioned
Former Grand Rapids, Michigan broker Jaime Westenbarger (CRD# 4625703) has been sanctioned and barred by the Financial Industry Regulatory Authority, which found he failed to provide documents requested as part of a FINRA investigation into possible misconduct. Westenbarger is a former representative of Securities America. According to a Letter of Acceptance, Waiver and Consent… Read More »
NYLife Rep Cristina Sabengsy Barred: Unauthorized Transactions
The Financial Industry Regulatory Authority barred former Deerfield, Illinois broker Cristina Sabengsy (CRD# 6304970) after finding she forged customer signatures in order to conduct unauthorized transactions for which she received commissions. Sabengsy is a former representative of NYLife Securities. According to a Letter of Acceptance, Waiver and Consent (No. 2018057717301) dated October 2019, Cristina… Read More »
Clark Nobil: Hallandale Broker Barred by FINRA
Clark Nobil (CRD# 348552), formerly registered as a broker with Clark Nobil & Company, has been barred by the Financial Industry Regulatory Authority (FINRA) in connection to allegations he did not comply with a FINRA investigation into his conduct. Nobil was most recently associated with that firm’s office in Hallandale, Florida. According to a… Read More »
Ex-Raymond James Broker Lance Armstrong Barred
Former Columbia, New Jersey broker/adviser Lance Armstrong (CRD# 4592423) was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he improperly accepted loans from customers and engaged in an undisclosed outside business activity. Armstrong is a former representative of Raymond James Financial Services. According to a Letter of Acceptance, Waiver and… Read More »
Justine Zhou: Littleton Broker Sanctioned Over Private Transactions
Justine Zhou (CRD# 2825595), a broker previously registered with The Leaders Group, was barred by the Financial Industry Regulatory Authority in connection to allegations she engaged in undisclosed and unauthorized private securities transactions. She was formerly based at the firm’s Littleton, Colorado branch office. According to a Letter of Acceptance, Waiver and Consent (No…. Read More »
FINRA Bars Ex-Merrill Lynch Advisor Linan Abrego
Linan Abrego (CRD# 6122105), formerly an investment professional based in McAllen, Texas, was recently the subject of a disciplinary action by the Financial Industry Regulatory Authority in connection to allegations she falsified insurance applications. A former representative of Merrill Lynch, Abrego was barred from acting as a broker. According to a Letter of Acceptance,… Read More »
FINRA Sanctions Nampa, Idaho Broker Bryce Vance
Former Farmers Financial Solutions broker/adviser Bryce Vance (CRD# 6499644) has been sanctioned by the Financial Industry Regulatory Authority following allegations he falsified insurance applications. Previously registered with the firm’s branch office in Nampa, Idaho, Vance was permanently barred from acting as a broker. According to a Letter of Acceptance, Waiver and Consent (No. 2018057094902)… Read More »
