Former Hauppage, New York financial advisor Joel Benanti (CRD# 4210681) was under investigation for undisclosed outside business activities and private...
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Marc Last: Pennsylvania NYLife Broker Barred by FINRA; Conversion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Berwyn, Pennsylvania broker Marc Last (CRD# 6366775) barred him over allegations he converted funds from a customer’s variable annuity account. A former representative of NYLife Securities, Last was barred from acting as a broker or otherwise associating with a broker-dealer firm. According… Read More »
James Clay: FINRA Bars Former CUSO, US Bancorp Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Clarksville, Tennessee broker and investment advisor James Clay (CRD# 5748560) barred him over allegations he engaged in outside business activities. A former representative of CUSO Financial Services and US Bancorp Investments, Clay was barred from acting as a broker or otherwise associating… Read More »
Seth Nannini: FINRA Suspends Capital Investment Group Broker
A disciplinary action taken by the Financial Industry Regulatory Authority against Charlotte and Boone, North Carolina broker Seth Nannini (CRD# 4406510) suspended him over allegations he engaged in unapproved private securities transactions. A representative of Capital Investment Group, Nannini was suspended for four months and ordered to pay restitution of $7,500.
Peter Marketos: Oppenheimer Advisor Suspended Over High Yield Bond Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former New Jersey and New York City broker and investment advisor Peter Marketos (CRD# 1997184) suspended him over allegations he recommended unsuitable concentrations in high yield bonds. A former representative of Oppenheimer & Company and Raymond James & Associates, Marketos was suspended for… Read More »
Michael Jackson: Securities America Advisor Suspended Over Discretion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former University Place, Washington broker and investment advisor Michael Jackson (CRD# 2784958) suspended him over allegations he exercised unauthorized discretion. A former representative of Securities America, Jacksonwas suspended for six months and fined $10,000. According to a Letter of Acceptance, Waiver and Consent (No. 2017055684102)… Read More »
James Armstrong Jr.: Royal Alliance Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Wake Forest, North Carolina broker and investment advisor James Armstrong Jr. (CRD# 4517907) suspended him over allegations he failed in his supervisory duties. A representative of Royal Alliance Associates, Armstrong was suspended from acting in a principal capacity for three months and fined… Read More »
James Armstrong Sr.: FINRA Suspends Royal Alliance Advisor Over Alleged Supervisory Failures
A disciplinary action taken by the Financial Industry Regulatory Authority against former Wake Forest, North Carolina broker and investment advisor James Armstrong Sr. (CRD# 720549) suspended him over allegations he failed to supervise a registered representative who made unsuitable investment recommendations to four elderly customers. A former representative of Royal Alliance Associates, Armstrong was… Read More »
Kyle Harrington: Aurora Capital Advisor Barred Over Conversion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Bridgehampton, New York broker and investment advisor Kyle Harrington (CRD# 2282328) barred him over allegations he engaged in private securities transactions and converted customer funds. A former representative of Aurora Capital, Harrington was barred from acting as a broker or otherwise associating… Read More »
FINRA Bars Ex-Kestra Advisor George Robertson
A disciplinary action taken by the Financial Industry Regulatory Authority against former Darien, Connecticut broker and investment advisor George Robertson (CRD# 1026646) barred him over allegations he participated in unapproved outside business activities. A former representative of Kestra Investment Services, Robertson was barred from acting as a broker or otherwise associating with a broker-dealer… Read More »
FINRA Bars PNC Advisor Robert Jamison
A disciplinary action taken by the Financial Industry Regulatory Authority against former Atlanta, Georgia broker and investment advisor Robert Jamison (CRD# 5793591) barred him after finding he refused to appear for testimony connected with an investigation into whether he referred customers to an unregistered person who may have sold those customers unsuitable investments. A… Read More »
