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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Sam Aziz: FINRA Bars Ohio David A. Noyes Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Dublin, Ohio broker and investment advisor Sam Aziz (CRD# 1721932) barred him over allegations he refused to appear for on-the-record testimony requested as part of an investigation into his sales practices. A former representative of David A. Noyes & Company and Coastal… Read More »
Ed Matthes: FINRA Bars Wisconsin Mutual of Omaha Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Oconomowoc, Wisconsin broker and investment advisor Ed Matthes (CRD# 2788055) barred him over allegations he failed to requested information as part of a FINRA investigation. A former representative of Mutual of Omaha Investor Services, Matthes was indefinitely barred from acting as a… Read More »
Dennis Hayes: Former Boca Raton Newbridge Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Melville, New York broker and investment advisor Dennis Hayes (CRD# 4403550) barred him over allegations he engaged in undisclosed private securities transactions. A former representative of Newbridge Securities Corporation, Hayes was indefinitely barred from acting as a broker… Read More »
Judith Johnston: Former NYLife Broker Barred; Variable Annuity Complaints
A disciplinary action taken by the Financial Industry Regulatory Authority against former Frisco, Texas broker Judith Johnston (CRD# 5532549) barred her over allegations she refused to provide testimony requested as part of an investigation into multiple customer complaints against her. A former representative of NYLife Securities, Johnston was indefinitely barred from acting as a… Read More »
Gerard Whelan: FINRA Suspends Former NYC Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker and investment advisor Gerard Whelan (CRD# 2445147) suspended him over allegations he participated in undisclosed and unapproved private securities transactions. A former representative of Charles Schwab & Company, Whelan was fined $7,500 and suspended from acting as a… Read More »
Steven Zerbarini: Florida Advisor Suspended Over Trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Safety Harbor, Florida advisor Steven Zerbarini (CRD# 2845669) suspended him over allegations he recommended exercised unauthorized discretion in customer accounts. A former representative of Next Financial and a current representative of Camelot Advisors, Zerbarini was fined $5,000 and suspended from acting as a… Read More »
William Thurmond: FINRA Suspends NYC Broker Over ETF Trades
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York, New York broker William Thurmond (CRD# 870133) suspended him over allegations he recommended unsuitable exchange-traded fund investments. A former representative of Alexander Capital, Thurmond was fined $25,000 and suspended from acting as a broker for 15 months as a result… Read More »
Corey Mireau: FINRA Suspends Former Minnesota Ameriprise Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Eden Prairie, Minnesota broker and investment advisor Corey Mireau (CRD# 3046777) suspended him over allegations he took undisclosed and unapproved loans from firm customers. A former representative of Ameriprise Financial Services, Mireau was fined $15,000 and suspended from acting as a broker… Read More »
Brian Stephan: Former Ohio Advisor Suspended Over Mutual Fund Recommendations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Xenia, Ohio broker and investment advisor Brian Stephan (CRD# 4222796) suspended him over allegations he recommended unsuitable investments to an elderly customer. A former representative of American Wealth Management, Stephan was fined $10,000 and suspended for eight months from acting as a… Read More »
FINRA Suspends Flint Advisor Gary Forrest: Woodbridge Notes
A disciplinary action taken by the Financial Industry Regulatory Authority against former Flint, Michigan broker and investment advisor Gary Forrest (CRD# 1313782) suspended him over allegations he participated in unapproved private securities transactions involving Woodbridge Group of Companies promissory notes. A former representative of American Portfolios Financial Services, Forrest was fined $5,000 and suspended… Read More »
