Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Scott Gunnip: FINRA Bars Southlake, Texas Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Southlake, Texas broker and investment advisor Scott Gunnip (CRD# 3250539) barred him after finding he failed to appear for testimony connected with its investigation into alleged unsuitable trading. A former representative of Morgan Stanley, Gunnip was barred from acting as a broker… Read More »
Keith Wakefield: FINRA Bars Chicago Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Chicago, Illinois broker and investment advisor Keith Wakefield (CRD# 3250539) barred him after finding he failed to appear for testimony connected with its investigation of allegations he engaged in “trading improprieties.” A former representative of IFS Securities, Wakefield was barred from acting… Read More »
Robert Davis: FINRA Suspends Richmond, Indiana Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Richmond, Indiana broker and investment advisor Robert Davis (CRD# 4662922) suspended him over allegations he made unsuitable trades and improperly exercised discretionary authority. A former representative of LPL Financial, Davis was suspended for 30 days and issued a fine of $5,000. According… Read More »
Michael Kane: FINRA Suspends Virginia Beach Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Virginia Beach, Virginia broker and investment advisor Michael Kane (CRD# 704604) suspended him over allegations he exercised discretionary authority in customer accounts without proper authorization from his customers. A representative of Davenport & Company, Kane was suspended for 15 days and issued a… Read More »
Michael Mackay: FINRA Bars Cincinnati Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cincinnati, Ohio broker and investment advisor Michael Mackay (CRD# 2279775) barred him after finding he failed to provide information connected with its investigation into whether he referred customers to investments unapproved by his member firm. A former representative of Transamerica Financial Advisors,… Read More »
Richard Cagle: FINRA Bars Corpus Christi Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Corpus Christi, Texas broker and investment advisor Richard Cagle (CRD# 2122648) barred him after finding he failed to appear for testimony connected with its investigation of allegations he made unsuitable investment recommendations and mis-marked customer order tickets. A former representative of Hilltop… Read More »
John Atchison: Virginia Beach Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Virginia Beach, Virginia broker and investment advisor John Atchison (CRD# 1284207) suspended him over allegations he engaged in discretionary trading without proper authorization from his customers. A representative of Davenport & Company, Atchison was suspended for 15 days and issued a fine of… Read More »
Douglas Simanski: Altoona, Pennsylvania Financial Advisor Barred
A disciplinary action taken by the Securities and Exchange Commission against former Altoona, Pennsylvania broker and investment advisor Douglas Simanski (CRD# 2606998) barred him over allegations he defrauded investors and used investor funds for his own personal gain. A former representative of Next Financial Group, Simanski has also received 21 customer complaints that reached… Read More »
Wesley Perkins: SEC Complaint Against Lafayette Financial Advisor
A pending civil complaint by the Securities and Exchange Commission against former Lafayette, Louisiana broker and investment advisor Wesley Perkins (CRD# 4565682) alleges he engaged in a fraudulent “cherry-picking” investment scheme that generated ill-gotten gains of at least $700,000. A former representative of Purshe Kaplan Sterling and owner of World Tree Financial, Perkins is… Read More »
Bob Forsyth: Charlottesville Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Charlottesville, North Carolina broker and investment advisor Bob Forsyth (CRD# 1425529) suspended him over allegations he engaged in discretionary trading without proper authorization. A representative of Davenport & Company, Forsyth was suspended for 15 days and ordered to pay a fine of $2,500…. Read More »
