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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Denise Bucci: Former Raymond James Broker Suspended; Forgery Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Conshohocken, Pennsylvania broker Denise Bucci (CRD# 1195774) suspended her over allegations she forged signatures. A former representative of Raymond James Financial Services, Bucci was fined $7,500 and suspended from acting as a broker for one year as a result of these findings…. Read More »
Jason Lane: Former Wells Fargo Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York broker and investment advisor Jason Lane (CRD# 4967267) suspended him over allegations he participated in undisclosed outside business activities. A former representative of Wells Fargo Clearing Services, Lane was fined $10,000 and suspended from acting as a broker for three… Read More »
Erin Verespy: Former HD Vest Advisor Barred Over Misappropriation Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Trumbull, Connecticut broker and investment advisor Erin Verespy (CRD# 2727866) barred her over findings she refused to appear for testimony connected to an investigation into alleged misappropriation of customer funds. A former representative of HD Vest Investment Services, Verespy was indefinitely barred… Read More »
James Eichner: Former NYC National Securities Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York broker and investment advisor James Eichner (CRD# 3221851) suspended him over allegations he exercised unauthorized discretion in customer accounts. A former representative of National Securities Corporation, Eichner was fined $10,000 and suspended from acting as a broker for 45 days… Read More »
Scott Klor: FINRA Suspends Former LPL Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Fort Mill, South Carolina broker and investment advisor Scott Klor (CRD# 2493369) suspended him over allegations he participated in a private securities transaction in violation of FINRA rules. A former representative of LPL Financial, Klor was fined $5,000 and suspended from acting… Read More »
FINRA Suspends Foresters Equity Advisor John Ernst
A disciplinary action taken by the Financial Industry Regulatory Authority against former San Diego, California broker John Ernst (CRD# 1958252) suspended him over allegations he participated in unapproved private securities transactions involving Woodbridge Group of Companies promissory notes. A former representative of Foresters Equity Services Services, Ernst was fined $5,000 and suspended from acting… Read More »
Anselmo Contreras: Former Cambridge Investment Research Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former Angleton, Texas broker and investment advisor Anselmo Contreras (CRD# 4095453) barred him over findings he converted and misused customer funds. A former representative of Cambridge Investment Research, Contreras was indefinitely barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
John Cutshall: Former Lombard Securities Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Woodsboro, Maryland broker and investment advisor John Cutshall (CRD# 874352) barred him over allegations he abused his position as trustee by converting and misusing funds. A former representative of Lombard Securities, Cutshall was indefinitely barred from acting as a broker or otherwise… Read More »
Tim Ayre: FINRA Bars Four Points Capital Broker; Rocky Mountain Ayre Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York, New York broker Tim Ayre (CRD# 2091556) barred him over allegations he made misrepresentations and omissions during an unregistered securities offering. A former representative of Four Points Capital Partners, Ayre was indefinitely barred from acting as a broker or otherwise… Read More »
James Schwartz: FINRA Bars Former NYC Broker; Churning Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York, New York broker James Schwartz (CRD# 3043085) barred him over allegations he churned and excessively traded customer accounts. A former representative of Joseph Gunnar & Company and First Standard Financial Company, Schwartz was indefinitely barred from acting as a broker… Read More »
