A recent investor complaint against Red Bank, New Jersey financial advisor Jase Simmons (CRD# 2438224) alleges that he violated multiple...
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Mauricio de la Torre: Former Dakota Securities Broker Sanctioned by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Miami, Florida broker Mauricio de la Torre (CRD# 2448272) suspended him over allegations he acted as a principal without proper registration and failed to reasonably perform his supervisory duties. A former representative of Tariva Securities and Dakota Securities International, de la Torre… Read More »
Paul Gershon Sanctioned: Unauthorized Trading Allegations Against Former RBC Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Leawood, Kansas broker and investment advisor Paul Gershon (CRD# 221357) suspended him over allegations he engaged in unauthorized discretionary trading. A former representative of RBC Capital Markets and Oppenheimer & Company, Gershon was suspended for 15 days and fined $5,000. According to… Read More »
Sam Aziz: FINRA Bars Ohio David A. Noyes Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Dublin, Ohio broker and investment advisor Sam Aziz (CRD# 1721932) barred him over allegations he refused to appear for on-the-record testimony requested as part of an investigation into his sales practices. A former representative of David A. Noyes & Company and Coastal… Read More »
Ed Matthes: FINRA Bars Wisconsin Mutual of Omaha Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Oconomowoc, Wisconsin broker and investment advisor Ed Matthes (CRD# 2788055) barred him over allegations he failed to requested information as part of a FINRA investigation. A former representative of Mutual of Omaha Investor Services, Matthes was indefinitely barred from acting as a… Read More »
Dennis Hayes: Former Boca Raton Newbridge Advisor Barred by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Melville, New York broker and investment advisor Dennis Hayes (CRD# 4403550) barred him over allegations he engaged in undisclosed private securities transactions. A former representative of Newbridge Securities Corporation, Hayes was indefinitely barred from acting as a broker… Read More »
Judith Johnston: Former NYLife Broker Barred; Variable Annuity Complaints
A disciplinary action taken by the Financial Industry Regulatory Authority against former Frisco, Texas broker Judith Johnston (CRD# 5532549) barred her over allegations she refused to provide testimony requested as part of an investigation into multiple customer complaints against her. A former representative of NYLife Securities, Johnston was indefinitely barred from acting as a… Read More »
Gerard Whelan: FINRA Suspends Former NYC Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker and investment advisor Gerard Whelan (CRD# 2445147) suspended him over allegations he participated in undisclosed and unapproved private securities transactions. A former representative of Charles Schwab & Company, Whelan was fined $7,500 and suspended from acting as a… Read More »
Steven Zerbarini: Florida Advisor Suspended Over Trading Allegations
A disciplinary action taken by the Financial Industry Regulatory Authority against Safety Harbor, Florida advisor Steven Zerbarini (CRD# 2845669) suspended him over allegations he recommended exercised unauthorized discretion in customer accounts. A former representative of Next Financial and a current representative of Camelot Advisors, Zerbarini was fined $5,000 and suspended from acting as a… Read More »
William Thurmond: FINRA Suspends NYC Broker Over ETF Trades
A disciplinary action taken by the Financial Industry Regulatory Authority against former New York, New York broker William Thurmond (CRD# 870133) suspended him over allegations he recommended unsuitable exchange-traded fund investments. A former representative of Alexander Capital, Thurmond was fined $25,000 and suspended from acting as a broker for 15 months as a result… Read More »
Corey Mireau: FINRA Suspends Former Minnesota Ameriprise Advisor
A disciplinary action taken by the Financial Industry Regulatory Authority against former Eden Prairie, Minnesota broker and investment advisor Corey Mireau (CRD# 3046777) suspended him over allegations he took undisclosed and unapproved loans from firm customers. A former representative of Ameriprise Financial Services, Mireau was fined $15,000 and suspended from acting as a broker… Read More »
