Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations....
Read MoreCategory Archives: Uncategorized
Mark Raezer: FINRA Suspends Aurora Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Aurora, Colorado broker Mark Raezer (CRD# 6439772) suspended him over allegations he engaged in unapproved private securities transactions. A former representative of Taylor Capital Management, Raezer was suspended for 10 months and issued a fine of $15,000. According to a Letter of… Read More »
Chuck Laubach: FINRA Suspends Timonum, Maryland Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Timonum, Maryland broker and investment advisor Chuck Laubach (CRD# 1097453) suspended him over allegations he improperly engaged in discretionary trading in customer accounts. A former representative of Capitol Portfolio Management, Laubach was suspended for 10 months and issued a fine of $5,000…. Read More »
Michael Kamperman: FINRA Suspends Waco Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Waco, Texas broker and investment advisor Michael Kamperman (CRD# 2002603) suspended him over allegations he made unsuitable investment recommendations in his customers’ 401(k) and IRA retirement accounts. A former representative of HD Vest, Kamperman was suspended for 18 months and issued a… Read More »
Ron Willoughby: FINRA Suspends Venice, California Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Venice, California broker and investment advisor Ron Willoughby (CRD# 2425926) suspended him over allegations he improperly exercised discretionary authority. A former representative of Kestra Investment Services, Willoughby was suspended for three months and issued a fine of $5,000. According to a Letter… Read More »
Daniel Soliman: FINRA Bars New York City Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Daniel Soliman (CRD# 6053300) barred him after finding he failed to provide testimony connected with its investigation into his trading activities. A former representative of JP Morgan Securities, Soliman was barred from acting as a broker or otherwise… Read More »
George Merhoff: FINRA Bars Klamath Falls Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Klamath Falls, Oregon broker and investment advisor George Merhoff (CRD# 2918171) barred him after finding he failed to provide information connected with its review, among other things, of alleged undisclosed payments to customers. A former representative of Cetera Advisors, Merhoff was barred… Read More »
James Anderson: FINRA Bars Dakota Dunes Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Dakota Dunes, South Dakota broker James Anderson (CRD# 4803514) barred him after finding he failed to provide information connected with its investigation into whether he purchased and sold securities away from his member firm. A former representative of Ameritas Investment Corporation, Anderson… Read More »
Thomas Stappas: FINRA Bars Parsippany, New Jersey Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Parsippany, New Jersey broker and investment advisor Thomas Stappas (CRD# 855198) barred him after finding he failed to provide information connected with its investigation into whether he engaged in outside business activities and recommended private securities transactions. A former representative of Summit… Read More »
Donald Teboe: FINRA Bars Clinton, Michigan Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Clinton, Michigan broker Donald Teboe (CRD# 4407610) barred him after finding he failed to appear for testimony as part of its investigation into allegations of unsuitable trading. A former representative of Cantella & Company, Teboe was barred from acting as a broker… Read More »
Scott Gunnip: FINRA Bars Southlake, Texas Financial Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Southlake, Texas broker and investment advisor Scott Gunnip (CRD# 3250539) barred him after finding he failed to appear for testimony connected with its investigation into alleged unsuitable trading. A former representative of Morgan Stanley, Gunnip was barred from acting as a broker… Read More »
