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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Floyd Powell Barred: Woodbridge Note Allegations Against Former MML, MSI Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Albertville, Alabama broker Floyd Powell (CRD# 2220029) barred him over allegations he participated in undisclosed private securities transactions involving Woodbridge Group of Companies promissory notes. A former representative of MML Investors Services and MSI Financial, Powell was barred from acting as a… Read More »
Martin Kirschner: Former Morgan Stanley Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker and investment advisor Martin Kirschner (CRD# 1326676) barred him after finding he failed to appear for testimony related to a FINRA investigation into allegations he failed to disclose a gift from a customer and failed to disclose his… Read More »
Michael Castillero: Former Windsor Street, Alexander Capital Broker Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York, New York broker Michael Castillero (CRD# 4583917) barred him after he failed to appear for testimony related to a FINRA investigation into allegations of unauthorized trading, attempts to settle away, and false statements. A former representative of Windsor Street Capital… Read More »
Bruce Meyers Barred: Supervisory Allegations Against Former Windsor Street Capital Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Bruce Meyers (CRD# 1045447) barred him over allegations he and his member firm failed in their supervisory duties. A former representative of Windsor Street Capital, which was formerly known as Meyers Associates, Meyers was barred from participating in… Read More »
Scott Mintz Sanctioned: Unauthorized Discretion Allegations Against UBS Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against Hartford, Connecticut broker Scott Mintz (CRD# 4783179) suspended him over allegations he exercised discretion in customer accounts without proper authorization. A representative of UBS Financial Services, Mintz was suspended for ten days and fined $5,000. According to a Letter of Acceptance, Waiver and… Read More »
Robert Bryant: Former Chelsea Financial, AllState Broker Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Lincoln, Nebraska broker Robert Bryant (CRD# 2494572) suspended him over allegations he forged customer signatures. A former representative of Chelsea Financial Services and Allstate Financial Services, Bryant was suspended for three months and fined $5,000. According to a Letter of Acceptance, Waiver… Read More »
Kevin Hao Jie Zhang: FINRA Suspends Former Pruco Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Dewitt, New York broker Kevin Hao Jie Zhang (CRD# 6297763) suspended him over allegations he took an unapproved loan from a customer in violation of firm policies. A former representative of Pruco Securities, Zhang was suspended for three months and fined $5,000…. Read More »
Richard Niemann: UBS Advisor Suspended Over Unauthorized Trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Sugar Land, Texas broker and investment advisor Richard Niemann (CRD# 348144) suspended him over allegations he participated in unauthorized discretionary trading. A representative of UBS Financial Services, Niemann was suspended for 15 days and fined $5,000. According to a Letter of Acceptance, Waiver… Read More »
Mauricio de la Torre: Former Dakota Securities Broker Sanctioned by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Miami, Florida broker Mauricio de la Torre (CRD# 2448272) suspended him over allegations he acted as a principal without proper registration and failed to reasonably perform his supervisory duties. A former representative of Tariva Securities and Dakota Securities International, de la Torre… Read More »
Paul Gershon Sanctioned: Unauthorized Trading Allegations Against Former RBC Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Leawood, Kansas broker and investment advisor Paul Gershon (CRD# 221357) suspended him over allegations he engaged in unauthorized discretionary trading. A former representative of RBC Capital Markets and Oppenheimer & Company, Gershon was suspended for 15 days and fined $5,000. According to… Read More »
