Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Bruce Meyers Barred: Supervisory Allegations Against Former Windsor Street Capital Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Bruce Meyers (CRD# 1045447) barred him over allegations he and his member firm failed in their supervisory duties. A former representative of Windsor Street Capital, which was formerly known as Meyers Associates, Meyers was barred from participating in… Read More »
Scott Mintz Sanctioned: Unauthorized Discretion Allegations Against UBS Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against Hartford, Connecticut broker Scott Mintz (CRD# 4783179) suspended him over allegations he exercised discretion in customer accounts without proper authorization. A representative of UBS Financial Services, Mintz was suspended for ten days and fined $5,000. According to a Letter of Acceptance, Waiver and… Read More »
Robert Bryant: Former Chelsea Financial, AllState Broker Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Lincoln, Nebraska broker Robert Bryant (CRD# 2494572) suspended him over allegations he forged customer signatures. A former representative of Chelsea Financial Services and Allstate Financial Services, Bryant was suspended for three months and fined $5,000. According to a Letter of Acceptance, Waiver… Read More »
Kevin Hao Jie Zhang: FINRA Suspends Former Pruco Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against former Dewitt, New York broker Kevin Hao Jie Zhang (CRD# 6297763) suspended him over allegations he took an unapproved loan from a customer in violation of firm policies. A former representative of Pruco Securities, Zhang was suspended for three months and fined $5,000…. Read More »
Richard Niemann: UBS Advisor Suspended Over Unauthorized Trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Sugar Land, Texas broker and investment advisor Richard Niemann (CRD# 348144) suspended him over allegations he participated in unauthorized discretionary trading. A representative of UBS Financial Services, Niemann was suspended for 15 days and fined $5,000. According to a Letter of Acceptance, Waiver… Read More »
Mauricio de la Torre: Former Dakota Securities Broker Sanctioned by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Miami, Florida broker Mauricio de la Torre (CRD# 2448272) suspended him over allegations he acted as a principal without proper registration and failed to reasonably perform his supervisory duties. A former representative of Tariva Securities and Dakota Securities International, de la Torre… Read More »
Paul Gershon Sanctioned: Unauthorized Trading Allegations Against Former RBC Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Leawood, Kansas broker and investment advisor Paul Gershon (CRD# 221357) suspended him over allegations he engaged in unauthorized discretionary trading. A former representative of RBC Capital Markets and Oppenheimer & Company, Gershon was suspended for 15 days and fined $5,000. According to… Read More »
Sam Aziz: FINRA Bars Ohio David A. Noyes Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Dublin, Ohio broker and investment advisor Sam Aziz (CRD# 1721932) barred him over allegations he refused to appear for on-the-record testimony requested as part of an investigation into his sales practices. A former representative of David A. Noyes & Company and Coastal… Read More »
Ed Matthes: FINRA Bars Wisconsin Mutual of Omaha Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Oconomowoc, Wisconsin broker and investment advisor Ed Matthes (CRD# 2788055) barred him over allegations he failed to requested information as part of a FINRA investigation. A former representative of Mutual of Omaha Investor Services, Matthes was indefinitely barred from acting as a… Read More »
Dennis Hayes: Former Boca Raton Newbridge Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Melville, New York broker and investment advisor Dennis Hayes (CRD# 4403550) barred him over allegations he engaged in undisclosed private securities transactions. A former representative of Newbridge Securities Corporation, Hayes was indefinitely barred from acting as a broker… Read More »
