Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Michael Jackson: Securities America Advisor Suspended Over Discretion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former University Place, Washington broker and investment advisor Michael Jackson (CRD# 2784958) suspended him over allegations he exercised unauthorized discretion. A former representative of Securities America, Jacksonwas suspended for six months and fined $10,000. According to a Letter of Acceptance, Waiver and Consent (No. 2017055684102)… Read More »
James Armstrong Jr.: Royal Alliance Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Wake Forest, North Carolina broker and investment advisor James Armstrong Jr. (CRD# 4517907) suspended him over allegations he failed in his supervisory duties. A representative of Royal Alliance Associates, Armstrong was suspended from acting in a principal capacity for three months and fined… Read More »
James Armstrong Sr.: FINRA Suspends Royal Alliance Advisor Over Alleged Supervisory Failures
A disciplinary action taken by the Financial Industry Regulatory Authority against former Wake Forest, North Carolina broker and investment advisor James Armstrong Sr. (CRD# 720549) suspended him over allegations he failed to supervise a registered representative who made unsuitable investment recommendations to four elderly customers. A former representative of Royal Alliance Associates, Armstrong was… Read More »
Kyle Harrington: Aurora Capital Advisor Barred Over Conversion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Bridgehampton, New York broker and investment advisor Kyle Harrington (CRD# 2282328) barred him over allegations he engaged in private securities transactions and converted customer funds. A former representative of Aurora Capital, Harrington was barred from acting as a broker or otherwise associating… Read More »
FINRA Bars Ex-Kestra Advisor George Robertson
A disciplinary action taken by the Financial Industry Regulatory Authority against former Darien, Connecticut broker and investment advisor George Robertson (CRD# 1026646) barred him over allegations he participated in unapproved outside business activities. A former representative of Kestra Investment Services, Robertson was barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
FINRA Bars PNC Advisor Robert Jamison
A disciplinary action taken by the Financial Industry Regulatory Authority against former Atlanta, Georgia broker and investment advisor Robert Jamison (CRD# 5793591) barred him after finding he refused to appear for testimony connected with an investigation into whether he referred customers to an unregistered person who may have sold those customers unsuitable investments. A… Read More »
Christopher Hellman: FINRA Bars Florida Merrill Lynch Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida broker and investment advisor Christopher Hellman (CRD# 6584084) barred him after finding he failed to cooperate with an investigation into possible outside business activities and selling away. A former representative of Merrill Lynch, Hellman was barred from acting as a… Read More »
Nicholas Radke: Former MML Broker Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Irvine, California and Lake Oswego, Oregon broker Nicholas Radke (CRD# 2610246) barred him after finding he failed to cooperate with an investigation into allegations of unapproved private securities transactions. A former representative of MML Investors Services and American Independent Securities Group, Radke was… Read More »
Ralph Von Lutzow: FINRA Bars Former Oberweis Advisor; Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Sarasota, Florida broker Ralph Von Lutzow (CRD# 455680) barred him over allegations accepted unapproved loans from a firm customer and participated in private securities transactions. A former representative of Oberweis Securities, Von Lutzow was barred from acting as a broker or otherwise associating with… Read More »
Mitchell Kurtz: FINRA Barred Former Henley & Company Advisor; $1.1 Million Complaint
A disciplinary action taken by the Financial Industry Regulatory Authority against former Roslyn Heights, New York broker and investment advisor Mitchell Kurtz (CRD# 2437746) barred him after finding he failed to provide documents and information requested by FINRA as part of an investigation into allegations of activity including outside business activities and selling away…. Read More »
