Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
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John Cangialosi: NYC Broker Suspended Over Unsuitable Trades
New York City stockbroker John Cangialosi (CRD# 3273830), was recently sanctioned by the Financial Industry Regulatory Authority over findings of unsuitable trading in customer accounts. The SW Financial representative was fined and temporarily suspended from associating with FINRA member firms.
Cesar Hurtado: 6-Figure Complaints Against Oppenheimer Rep
Miami stockbroker Cedar Hurtado (CRD# 4137948) was recently sanctioned by the Financial Industry Regulatory Authority. A representative of Oppenheimer & Company, he was found to have recommended unsuitable investment strategies to two customers.
Ex-Raymond James Rep Jeff Drost Barred by FINRA
The Financial Industry Regulatory Authority has barred former Victoria, Texas stockbroker Jeff Drost (CRD# 4489021) over findings he refused to comply with a FINRA investigation into his conduct. Formerly a representative of Raymond James Financial Services, Mr. Drost was barred from acting as a broker.
Donald Fowler: FINRA, SEC Sanction Worden Rep Over Options Strategy
Former Rockville Center, New York stockbroker Donald Fowler (CRD# 4989632) has been sanctioned by the Financial Industry Regulatory Authority and charged with fraud by the Securities and Exchange Commission. Previously a representative of Worden Capital Management, Mr. Fowler has been barred from acting as a broker.
FINRA Sanctions Ex-Pruco Rep Alexis Cooke: Forgery Allegations
Former Pruco Securities stockbroker Alexis Cooke (CRD# 5598604) was recently sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. Formerly a representative in the firm’s office in New York City, Ms. Cooke was found to have engaged in “falsification, impersonation, and forgery” connected to customers’ variable annuity applications.
Thomas Stratton: Ex-Melbourne Rep Sanctioned, Barred
Thomas Stratton (CRD# 1646899), formerly a broker and investment adviser with World Choice Securities, was recently sanctioned by the Financial Industry Regulatory Authority. Previously a representative in the firm’s office in Melbourne, Florida, he was barred from acting as a broker or otherwise associating with any FINRA member firm.
Center Moriches Rep Eugene McAdams Barred: Suitability Allegations
The Financial Industry Regulatory Authority has barred former Joseph Stone Capital broker Eugene McAdams (CRD# 4190211) after finding he declined to cooperate with a probe into allegations of unsuitable trading. He was previously registered with Joseph Stone’s office in Center Moriches, New York.
FINRA Bars Ex-Suffield Rep Walter Allen: Alleged Discretionary Trading
Walter Allen (CRD# 1344149), formerly a representative of Cetera Advisors, has been sanctioned by the Financial Industry Regulatory Authority and barred from associating with any FINRA member firm. He was previously registered with Cetera’s office in Suffield, Connecticut.
Ex-Eastgate Rep James O’Reilly Barred: Alleged Outside Activities
James O’Reilly (CRD# 2209758), a broker previously registered with Eastgate Securities, has been sanctioned by the Financial Industry Regulatory Authority after findings he refused to cooperate with an investigation into allegations of potential undisclosed outside business activities. He was formerly registered with the firm’s office in Little Neck, New York.
Skippack Broker Lee Taylor Barred by FINRA
Former Skippack, Pennsylvania broker and investment adviser Lee Taylor (CRD# 3045030) has been barred by the Financial Industry Regulatory Authority over findings he refused to cooperate with a FINRA inquiry into allegations of misconduct against him. He is formerly a representative of Purshe Kaplan Sterling Investments in Skippack.
