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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Thomas Laws: FINRA Bars Former HD Vest Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Silver City, New Mexico broker Thomas Laws (CRD# 4494448) barred him over findings he refused to provide testimony as part of an investigation into allegations he participated in outside business activities. A former representative of HD Vest Investment Services, Laws was indefinitely… Read More »
Tyler Woodward: Former Colorado MML Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Colorado Springs, Colorado broker and investment advisor Tyler Woodward (CRD# 6032935) barred him over findings he refused to provide testimony as part of an investigation into allegations he converted customer funds. A former representative of MML Investors Services, Lessard was indefinitely barred… Read More »
Michael Lessard: FINRA Bars Former Southeast Investments, Dempsey Lord Smith Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Rock Hill, South Carolina and Charlotte, North Carolina broker and investment advisor Michael Lessard (CRD# 5968857) barred him over allegations he borrowed money from clients without approval. A former representative of Southeast Investments and Dempsey Lord Smith, Lessard was indefinitely barred from… Read More »
James Bylenga: FINRA Bars Former Michigan LPL Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Portage, Michigan broker and investment advisor James Bylenga (CRD# 705143) barred him over findings he refused to provide information relating to allegations he may have received loans from a client. A former representative of LPL Financial, Bylenga was indefinitely barred from acting… Read More »
Brad Latting: FINRA Bars Former State Farm Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Lawton, Oklahoma broker Brad Latting (CRD# 4850825) barred him over findings he refused to provide FINRA with testimony relating to allegations he converted and/or commingled the funds of an elderly customer. A former representative of State Farm VP Management Corporation, Latting was… Read More »
Michael Bastardi: FINRA Bars Former Securities America Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Warwick, New York broker Michael Bastardi (CRD# 6015424) barred him over findings he refused to provide FINRA with information relating to allegations of unsuitable margin trading, fraud, forgery, and unauthorized trading. A former representative of Dalton Strategic Investment Services and Securities America,… Read More »
Philip Nalesnik: FINRA Bars Former LPL Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Pottsville, Pennsylvania broker and investment advisor Philip Nalesnik (CRD# 4561380) barred him over allegations he refused to provide FINRA with requested on-the-record testimony. A former representative of LPL Financial, Nalesnik was indefinitely barred from acting as a broker or otherwise associating with… Read More »
FINRA Suspends Ex-M Holdings Advisor Dean Grant
A disciplinary action taken by the Financial Industry Regulatory Authority against former Milledgeville, Georgia broker and investment advisor Dean Grant (CRD# 1945209) barred him over allegations he refused to provide FINRA with information and documents it requested as a result of allegations he converted customer funds and forged documents. A former representative of M… Read More »
Dominic Tropiano: FINRA Bars Former America Northcoast Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cleveland, Ohio broker and investment advisor Dominic Tropiano (CRD# 4761462) barred him over allegations he recommended non-traditional exchange-traded fund transactions without a basis to believe they were suitable for his customers. A former representative of America Northcoast Securities, Tropiano was indefinitely barred… Read More »
David Strnad: Former Wells Fargo Advisor Sanctioned Over Unauthorized trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Nashville, Tennessee broker and investment adviser David Strnad (CRD# 1982721) suspended him over allegations he executed unauthorized transactions in the account of an elderly customer of his former member firm, Wells Fargo Clearing Services. Strnad was fined $10,000 and suspended from acting… Read More »
