Former Lewiston, New York financial advisor Gilbert Conrad (CRD# 2746778) was recently sanctioned and suspended in connection with alleged rule...
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Michael Norman: FINRA Barred Nevada NYLife Broker; Loan Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Reno, Nevada broker Michael Norman (CRD# 2092589) barred him after finding he failed to cooperate with an investigation into allegations he loaned money to a customer. A former representative of NYLife Securities, Norman was barred from acting as a broker or otherwise associating… Read More »
Noel Carino: FINRA Barred General Securities Advisor Over Alleged Outside Business Activities
A disciplinary action taken by the Financial Industry Regulatory Authority against former North Kansas City, Missouri broker and investment advisor Noel Carino (CRD# 3159932) barred him after finding he failed to cooperate with an investigation into allegations he participated in unapproved outside business activities. A former representative of General Securities Corporation, Carinowas barred from acting as… Read More »
Sean Waters: FINRA Barred Former Newbridge, Financial West Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Los Angeles, California broker and investment advisor Sean Waters (CRD# 4414180) barred him over allegations of excessive and unsuitable trading. A former representative of Newbridge Securities Corporation and Financial West Group, Waters was barred from acting as a… Read More »
Frank Dietrich: Quest Capital Advisor Barred by FINRA; Woodbridge Notes
A disciplinary action taken by the Financial Industry Regulatory Authority against former Lake Forest, California broker and investment advisor Frank Dietrich (CRD# 2506091) barred him over allegations he solicited investors to purchase Woodbridge notes without providing his firm with prior written notice. A former representative of Quest Capital Strategies, Dietrich was barred from acting as a broker… Read More »
Robert Basile: FINRA Barred California Waddell & Reed Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Riverside, California broker and investment advisor Robert Basile (CRD# 2392772) barred him over allegations he converted the funds of an elderly customer. A former representative of Waddell & Reed, Basile was barred from acting as a broker or otherwise associating with a broker-dealer firm. According… Read More »
Melissa Alverio: Pennsylvania Vanguard Broker Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Malvern, Pennsylvania broker Melissa Alverio (CRD# 5844392) barred her over allegations she improperly used customer and firm funds. A former representative of Vanguard Marketing Corporation, Alveriowas barred from acting as a broker or otherwise associating with a broker-dealer firm. According to a… Read More »
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 »
