Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Matthew Albers: Vienna, Virginia Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Vienna, Virginia broker and investment advisor Matthew Albers (CRD# 2917814) suspended him over allegations he improperly exercised discretionary authority in client accounts. A representative of Paulson Investment Company, Albers was suspended for 15 days and ordered to pay a fine of $5,000. According… Read More »
Karen Paek: El Segundo Financial Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former El Segundo, California broker Karen Paek (CRD# 5985441) barred her over allegations she fabricated variable annuity applications and forged customer signatures. A former representative of Pruco Securities, Paek was barred from acting as a broker or otherwise associating with a broker-dealer firm…. Read More »
Richard Coleman: Melville, New York Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Melville, New York broker Richard Coleman (CRD# 2720422) suspended him over allegations he engaged in excessive trading in customer accounts. Formerly a representative of SW Financial, Coleman was suspended for two years and ordered to pay a fine of $15,000. According to… Read More »
FINRA Suspends PHX Advisor Steve Baptist
A disciplinary action taken by the Financial Industry Regulatory Authority against New York City broker Steve Baptist (CRD# 5885870) suspended him over allegations he engaged in unauthorized trading. A representative of PHX Financial, Baptist was suspended for 30 days and ordered to pay a fine of $5,000. According to a Letter of Acceptance, Waiver… Read More »
Bryan Clark: FINRA Bars Atascadero, California Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Atascadero, California broker and investment advisor Bryan Clark (CRD# 2987321) barred him after finding he failed to appear for testimony connected with its investigation of allegations he engaged in private securities transactions. A former representative of Madison Avenue Securities, Clark was barred… Read More »
Roger Owens: Elkton, Maryland Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Elkton, Maryland broker Roger Owens (CRD# 2359204) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A former representative of Cetera Advisors, Owens was suspended for 12 months and ordered to pay a fine of $10,000. According to a… Read More »
Michael Nixon: Tampa Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Tampa, Florida broker and investment advisor Michael Nixon (CRD# 2169631) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A representative of Paulson Investment Company, Nixon was suspended for 15 days and ordered to pay a fine of $5,000. According… Read More »
Scott Riley: Edward Jones Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against Hooksett, New Hampshire broker and investment advisor Scott Riley (CRD# 5178446) suspended him over allegations he engaged in unauthorized trading. A representative of Edward Jones, Riley was suspended for three months. According to a Letter of Acceptance, Waiver and Consent (No. 2017055611501) dated… Read More »
Craig Zabala: FINRA Bars New York City Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Craig Zabala (CRD# 5653949) barred him after finding he failed to provide documents and information connected with its examination of allegations he engaged in private securities transactions. A former representative of John W. Loofbourrow Associates, Zabala was barred… Read More »
Arlyn Stokesbary: Slayton, Minnesota Financial Advisor Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Slayton, Minnesota broker and investment advisor Arlyn Stokesbary (CRD# 1717430) suspended him over allegations he improperly exercised discretion in 20 customers’ accounts. A former representative of Thrivent Investment Management, Stokesbary was suspended for 15 days and ordered to pay a fine of… Read More »
