Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Donald Logan: Former Waddell & Reed Advisor Suspended Over Discretion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Silverdale, Washington broker and investment advisor Donald Logan (CRD# 5537486) suspended him over allegations he exercised discretionary authority in customer accounts without proper authorization. A former representative of Waddell & Reed, Logan was fined $25,000 and suspended for 18 months. According to… Read More »
Chris Dallas: FINRA Sanctions World Equity Group Advisor; Variable Annuity Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Arlington Heights, Illinois broker and investment advisor Chris Dallas (CRD# 3233864) suspended him over allegations he failed to reasonably supervise variable annuity transactions. A representative of World Equity Group, Dallas was fined $5,000 and suspended from acting in a principal capacity for 30… Read More »
Stephen Hart: Former CFWP Advisor Sanctioned; Conversion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker and investment advisor Stephen Hart (CRD# 5021146) barred him after he failed to provide information related to a FINRA investigation into allegations he converted money or property. A former representative of CFWP Securities, Hart was barred from acting… Read More »
John Spach: Former Kestra, NFP Advisor Sanctioned
A disciplinary action taken by the Financial Industry Regulatory Authority against former Aliso Viejo, California broker and investment advisor John Spach (CRD# 2731192) barred him after he failed to provide information related to a FINRA investigation into allegations that arose in a customer complaint against him. A former representative of Kestra Investment Services and… Read More »
Thomas Oakes: FINRA Bars Former Royal Securities Company Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Grand Rapids, Michigan broker and investment advisor Thomas Oakes (CRD# 1354152) barred him after he failed to appear for testimony related to a FINRA investigation into allegations he recommended unsuitable transactions. A former representative of Royal Securities Company, Oakes was barred from… Read More »
Salman Rasheed Sanctioned: Former JP Morgan Rep Allegedly Accepted Improper Customer Gifts
A disciplinary action taken by the Financial Industry Regulatory Authority against former Skokie, Illinois broker Salman Rasheed (CRD# 6421984) barred him over allegations he accepted gifts from an elderly customer in violation of firm policy. A former representative of JP Morgan Securities, Rasheed was barred from acting as a broker or otherwise associating with… Read More »
Michael Rappa: Former Foresters Equity Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former San Diego, California broker and investment advisor Michael Rappa (CRD# 4799159) barred him over allegations he participated in undisclosed and unapproved private securities transactions. A former representative of Foresters Equity Services, Rappa was barred from acting as a broker or otherwise associating… Read More »
Floyd Powell Barred: Woodbridge Note Allegations Against Former MML, MSI Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Albertville, Alabama broker Floyd Powell (CRD# 2220029) barred him over allegations he participated in undisclosed private securities transactions involving Woodbridge Group of Companies promissory notes. A former representative of MML Investors Services and MSI Financial, Powell was barred from acting as a… Read More »
Martin Kirschner: Former Morgan Stanley Advisor Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker and investment advisor Martin Kirschner (CRD# 1326676) barred him after finding he failed to appear for testimony related to a FINRA investigation into allegations he failed to disclose a gift from a customer and failed to disclose his… Read More »
Michael Castillero: Former Windsor Street, Alexander Capital Broker Barred
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York, New York broker Michael Castillero (CRD# 4583917) barred him after he failed to appear for testimony related to a FINRA investigation into allegations of unauthorized trading, attempts to settle away, and false statements. A former representative of Windsor Street Capital… Read More »
