California

Mar 20th, 2015
Published by Jeremy Hyndman at Mar 20th, 2015
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Irvine Stockbroker Barred From Securities Industry For Improper Withdrawals From Investor’s Account

Peter Kim, a former stockbroker with Morgan Stanley, has been barred from the securities industry. According to FINRA, Kim refused to cooperate with an investigation into […]
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Mar 19th, 2015
Published by Jeremy Hyndman at Mar 19th, 2015
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Wedbush Securities Busted For Failing To Disclose Customer Complaints, Harming The Investing Public

Wedbush Securities is in hot water for failing to timely and properly disclose its brokers’ bankruptcies, customer complaints, criminal allegations, and other serious matters. According to […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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Martin Kelly Capital Management Defrauds Professional Athletes

The SEC filed fraud charges against investment adviser Bill Crafton of Martin Kelly Capital Management. Apparently, Mr. Crafton has provided advisory services for professional athletes in […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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SEC Accuses Prima Capital of Misappropriating Investor Funds

According to the Securities and Exchange Commission, Prima Capital Group and its owner, Efstratios “Elias” Argyropoulos, frittered away customer money on unauthorized day trading. Investors believed […]
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Dec 8th, 2014
Published by Jeremy Hyndman at Dec 8th, 2014
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California Variable Annuities Broker Swapped Fluids to Close Sales

Antonio “Pedro” Vergaray Falcon of Granada Hills, California was terminated from NY Life after an internal investigation concluded that he had provided his own fluid samples […]
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Dec 4th, 2014
Published by Jeremy Hyndman at Dec 4th, 2014
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Pleasant Hill Stockbroker Fined for Sending Bad Tweets

Jon Robert Hickman of Ladenburg Thalman & Co., Inc. was fined and suspended for Twitter posts about securities that were not fair and balanced, and also […]
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Dec 2nd, 2014
Published by Jeremy Hyndman at Dec 2nd, 2014
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San Diego Stockbroker Suspended for Unreported Involvement in Biotech Startup

Michael Dinerman of Piper Jaffray & Co. was fined and suspended from association with any FINRA member firm for failure to disclose outside business activities to […]
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Dec 1st, 2014
Published by Jeremy Hyndman at Dec 1st, 2014
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Carlsbad Stockbroker Chase Bishop Casson Barred From Securities Industry

Mr. Casson of Trustmont Financial Group has been barred from association with any FINRA member firm in any capacity. He failed to comply with four requests […]
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Nov 10th, 2014
Published by Jeremy Hyndman at Nov 10th, 2014
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Financial Advisor in San Jose Barred for Pushing Unsuitable Variable Universal Life Policies on Unsophisticated Investors.

Angelo Xagoraris of TransAmerica Financial Advisors was recently barred from the securities industry for violation of FINRA’s suitability and other rules. Mr. Xagoraris sold variable universal […]
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Nov 5th, 2014
Published by Jeremy Hyndman at Nov 5th, 2014
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West Hills Financial Advisor Barred From Securities Industry For “Pump-and-Dump” Scheme

David Lawrence Gabai of Comerica Securities was barred from the securities industry for manipulating the stock of National Technical Systems, Inc. (“NTSC”). NTSC was a thinly […]
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