Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Guy Wyser-Pratte: FINRA Suspends New York Broker; Insider Trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Bedford, New York broker Guy Wyser-Pratte (CRD# 473794) suspended him over allegations he failed to disclose a finding by French securities regulators that he committed insider trading. A former representative of Wyser-Pratte & Company, he was suspended for six months and fined… Read More »
Bruce Zaro: FINRA Suspended Bolton Global Capital Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against Providence, Rhode Island broker and investment advisor Bruce Zaro (CRD# 1271065) suspended him over allegations he signed a customer’s name without the customer’s knowledge or authorization. A representative of International Assets Advisory and former representative of Bolton Global Capital in Plymouth, Massachusetts, Zaro… Read More »
Greg Rusnak: FINRA Suspends Former Sigma Advisor; Discretion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former St. Charles, Illinois broker and investment advisor Greg Rusnak (CRD# 1505212) suspended him over allegations he improperly exercise discretion in customer accounts. A former representative of Sigma Financial Corporation, Rusnak was suspended for 10 days and fined $5,000. According to a Letter… Read More »
Bonnie Fox: Former SunTrust Advisor Suspended Over Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Hampton, Virginia broker and investment advisor Bonnie Fox (CRD# 3206840) suspended her over allegations she borrowed money from a customer in violation of firm policy. A former representative of SunTrust Investment Services, Fox was suspended for three months. According to a Letter of… Read More »
Gary Pevey: FINRA Suspends Former Mutual Securities Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Sacramento, California broker and investment advisor Gary Pevey (CRD# 2129469) suspended him over allegations he participated in unapproved private securities transactions. A former representative of Mutual Securities, Pevey was suspended for 10 days and fined $5,000. According to a Letter of Acceptance,… Read More »
Frank Venable III: Morgan Stanley Advisor Suspended Over Discretion Use
A disciplinary action taken by the Financial Industry Regulatory Authority against Nashville, Tennessee broker and investment advisor Frank Venable III (CRD# 1461515) suspended him over allegations he improperly exercised discretion in customer accounts. A representative of Morgan Stanley, Venable was suspended for 10 days and fined $5,000. According to a Letter of Acceptance, Waiver… Read More »
Suresh Basnet: Former Voya, CoreCap Advisor Sanctioned by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cedar Rapids, Iowa broker and investment advisor Suresh Basnet (CRD# 4426976) suspended him over allegations he participated in undisclosed private securities transactions. A former representative of Voya Financial Advisors, Basnet was suspended for 45 days and fined $5,000. According to a Letter… Read More »
Paul Wishingrad: UBS Advisor Suspended Over Discretion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Beverly Hills, California broker and investment advisor Paul Wishingrad (CRD# 1311357) suspended him over allegations he improperly exercised discretionary authority in customer accounts. A representative of UBS Financial Services, Wishingrad was suspended for 15 days and fined $5,000. According to a Letter of… Read More »
Kristian Gaudet: Former Ameritas Broker Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Cut Off, Louisiana broker Kristian Gaudet (CRD# 4190811) barred him after finding he failed to cooperate with an investigation into allegations he used customer funds for his own personal purposes. A former representative of Ameritas Investment Group, Gaudet was barred from acting… Read More »
Jay Weiser: Former DesPain Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Collinsville, Illinois broker and investment advisor Jay Weiser (CRD# 1511042) barred him after finding he failed to cooperate with an investigation into whether he participated in unapproved private securities transactions. A former representative of DesPain Financial Corporation, Weiser was barred from acting… Read More »
