A recent investor complaint against Red Bank, New Jersey financial advisor Jase Simmons (CRD# 2438224) alleges that he violated multiple...
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Thomas Sova: Hornor Townsend & Kent Advisor Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Baton Rouge, Louisiana broker and investment advisor Thomas Sova (CRD# 431135) suspended him over allegations he participated in undisclosed and unapproved private securities transactions. A former representative of Hornor Townsend & Kent, Sova was fined $5,000 and suspended for five months. According… Read More »
Thomas Lisa: Former Wilmington Capital Broker Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Thomas Lisa (CRD# 1540766) suspended him over allegations he participated in undisclosed outside business activities. A former representative of Wilmington Capital Securities, Lisa was fined $7,500 and suspended for four months. According to a Letter of Acceptance, Waiver… Read More »
Kirk Betsch: Former Farmers Financial Broker Suspended
A disciplinary action taken by the Financial Industry Regulatory Authority against former Spearfish, South Dakota broker Kirk Betsch (CRD# 4132889) suspended him over allegations he participated in an undisclosed and unapproved private securities transaction. A former representative of Farmers Financial Solutions, Betsch was ordered to disgorge a sum of $1,500 and suspended for one… Read More »
Tom Gallo: Former Corinthian Partners Broker Suspended Over NGT Notes
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker Tom Gallo (CRD# 1705791) suspended him over allegations he negligently misrepresented a material fact connected to the sale of promissory notes. A former representative of Corinthian Partners and Newbridge Securities Corporation, Gallo was fined $25,000 and suspended for… Read More »
John Kasel: Former KMS Advisor Suspended Over Alleged Outside Business Activity
A disciplinary action taken by the Financial Industry Regulatory Authority against former Seattle, Washington and Scottsdale, Arizona broker and investment advisor John Kasel (CRD# 4382483) suspended him over allegations he participated in an unapproved outside business activity. A former representative of US Bancorp Investments and KMS Financial Services, Kasel was fined $25,000 and suspended… Read More »
Donald Logan: Former Waddell & Reed Advisor Suspended Over Discretion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former Silverdale, Washington broker and investment advisor Donald Logan (CRD# 5537486) suspended him over allegations he exercised discretionary authority in customer accounts without proper authorization. A former representative of Waddell & Reed, Logan was fined $25,000 and suspended for 18 months. According to… Read More »
Chris Dallas: FINRA Sanctions World Equity Group Advisor; Variable Annuity Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Arlington Heights, Illinois broker and investment advisor Chris Dallas (CRD# 3233864) suspended him over allegations he failed to reasonably supervise variable annuity transactions. A representative of World Equity Group, Dallas was fined $5,000 and suspended from acting in a principal capacity for 30… Read More »
Stephen Hart: Former CFWP Advisor Sanctioned; Conversion Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker and investment advisor Stephen Hart (CRD# 5021146) barred him after he failed to provide information related to a FINRA investigation into allegations he converted money or property. A former representative of CFWP Securities, Hart was barred from acting… Read More »
John Spach: Former Kestra, NFP Advisor Sanctioned
A disciplinary action taken by the Financial Industry Regulatory Authority against former Aliso Viejo, California broker and investment advisor John Spach (CRD# 2731192) barred him after he failed to provide information related to a FINRA investigation into allegations that arose in a customer complaint against him. A former representative of Kestra Investment Services and… Read More »
Thomas Oakes: FINRA Bars Former Royal Securities Company Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Grand Rapids, Michigan broker and investment advisor Thomas Oakes (CRD# 1354152) barred him after he failed to appear for testimony related to a FINRA investigation into allegations he recommended unsuitable transactions. A former representative of Royal Securities Company, Oakes was barred from… Read More »
