Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
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George McCaffrey: Ex-NTB Rep Barred over Private Transactions
Ex-Englewood stockbroker George McCaffrey (CRD# 847377) was recently sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. The former NTB Financial Corporation representative has also received an investor dispute alleging his actions caused $1.7 million in damages.
FINRA Bars Largo Advisor Nathan Katz
Former Largo, Florida stockbroker Nathan Katz (CRD# 846475) was the subject of a recent Financial Industry Regulatory Action sanction connected to findings he refused to cooperate with an investigation into his conduct. The former American Independent Securities Group representative was barred from acting as a broker or otherwise associating with a broker-dealer firm.
Douglas Szempruch: FINRA Suspends Former Aegis Advisor
Douglas Szempruch (CRD# 4159318), previously a stockbroker in Melville, New York, was sanctioned by the Financial Industry Regulatory Authority over findings he engaged in unsuitable trading. Formerly a representative of Aegis Capital, Mr. Szempruch was suspended from acting as a broker.
FINRA Sanctions Indianapolis Advisor Stu Pearl
Former Indianapolis stockbroker Stu Pearl (CRD# 1500833) has been sanctioned by the Financial Industry Regulatory Authority over findings he made unsuitable exchange-traded fund recommendations. Previously a representative of David A. Noyes & Company, he has been suspended from acting as a broker. He is still registered as an investment adviser with International Assets Investment… Read More »
FINRA Suspends Former SagePoint Advisor Gary Bowman
Gary Bowman (CRD# 2035699) , an ex-SagePoint Financial stockbroker, has been sanctioned by the Financial Industry Regulatory Authority after findings he engaged in unsuitable trading. A representative previously based in Corona, California, Mr. Bowman was temporarily suspended from acting as a broker.
James Flower: Ex-NYC Rep Barred over VXX ETN Trades
Ex-Spartan Capital Securities stockbroker James Flower (CRD# 2817701) has been barred from acting as a broker or otherwise associating with any broker-dealer firm. Previously based in Garden City, New York, he was found by the Financial Industry Regulatory Authority to have churned and excessively traded in customer accounts.
FINRA Sanctions Ex-GWN Securities Rep Ronald Giovino
Ex-Clearwater, Florida stockbroker Ronald Giovino (CRD# 2236071) was sanctioned by FINRA this summer after findings he failed to produce information FINRA requested as part of its investigation into whether he converted customer funds. Previously a representative of GWN Securities, Mr. Giovino was barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
FINRA Bars Tyler Rigsbee, Former Sacramento Advisor
Tyler Rigsbee (CRD# 6351278), previously a Sacramento-based stockbroker, was sanctioned by FINRA in July over findings he refused to produce information connected to an inquiry into allegations of unauthorized fund transfers. Formerly a representative of Wells Fargo Clearing Services, he was indefinitely barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
SW Financial Rep Joseph Lianzo Sanctioned, Suspended by FINRA
SW Financial stockbroker Joseph Lianzo (CRD# 4516842) was recently sanctioned by the Financial Industry Regulatory Authority and suspended from acting as a broker. The Melville, New York representative was found to have engaged in excessive trading in customer accounts.
Ex-Woodstock Rep Alfonse Stazzone Suspended by FINRA
Alfonse Stazzone (CRD# 4908107), a stockbroker previously registered in New Jersey, has been sanctioned by the Financial Industry Regulatory Authority and suspended from acting as a broker. He was previously a representative of Monmouth Capital Securities in Holmdel, New Jersey; Garden State Securities in Red Bank, New Jersey; and Woodstock Financial in Staten Island,… Read More »
