California

Nov 4th, 2014
Published by Jeremy Hyndman at Nov 4th, 2014
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Pasadena Stockbroker May Have Stolen $2 Million in Investor Funds

Mark Foster of Stern Fisher Edwards was barred from the securities industry for failure to answer regulator inquiries into his alleged theft of over $2 million. […]
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Nov 3rd, 2014
Published by Jeremy Hyndman at Nov 3rd, 2014
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Carlsbad Stockbroker Suspended for Tampering with Annuity Applications

Tamara Lynne Collins of LPL Financial was recently fined and suspended for tampering with annuity documents. Specifically, she added her client’s initials to documents, and changed […]
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Nov 2nd, 2014
Published by Jeremy Hyndman at Nov 2nd, 2014
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Western International Securities Fails to Supervise Broker who Allegedly Ran ForEx Scam

Poor supervision at Western International Securities (“Western International”) may have helped one of its brokers run a ForEx scam undetected. Jason Bo-Alan Beckman, a Western International […]
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Oct 7th, 2014
Published by Jeremy Hyndman at Oct 7th, 2014
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Santa Barbara Stockbroker Suspended for Improper Sales of Private Securities

Travis Shannon of Morgan Stanley has been suspended for improperly selling $1.885 million in private securities. Private securities are investments that are not publicly traded or […]
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Oct 6th, 2014
Published by Jeremy Hyndman at Oct 6th, 2014
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Woodland Hills Stockbroker Convicted of Mortgage Fraud

Sally “Sonia” Samaris of TransAmerica Financial Advisers was recently convicted of several felonies related to mortgage fraud. Charges include felony grand theft and felony home equity […]
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Oct 5th, 2014
Published by Jeremy Hyndman at Oct 5th, 2014
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Irvine Stockbroker Willfully Fails to Disclose Tax Liens

Mehran Sadri of Morgan Stanley received a fine and suspension for willful failure to disclose a $70,000 IRS tax lien on his Form U4, hiding this […]
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Oct 4th, 2014
Published by Jeremy Hyndman at Oct 4th, 2014
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California Stockbroker Barred from Securities Industry for Improperly Borrowing Money from Clients

Kent Lehman of Securian Financial Services, Inc., was barred from the securities industry for borrowing funds from clients. FINRA Rules generally bar stockbrokers from borrowing client […]
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Oct 3rd, 2014
Published by Jeremy Hyndman at Oct 3rd, 2014
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Los Angeles Stockbroker Barred from Securities Industry for Insider Trading & Providing False Information to Securities Regulator

Jonathan Kohanof, formerly of Houlihan Lokey Capital was recently barred from the securities industry by FINRA. According to FINRA, Mr. Kohanof used insider information to recommend […]
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Oct 2nd, 2014
Published by Jeremy Hyndman at Oct 2nd, 2014
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Newport Beach Stockbroker Fined and Suspended for Failure to Report Tax Liens

Terrence Welsh of D.A. Davidson & Co. was suspended for failure to report over $115,000 in tax liens. FINRA, a securities regulator, requires stockbrokers to report […]
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Oct 2nd, 2014
Published by Jeremy Hyndman at Oct 2nd, 2014
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Newport Beach Stockbroker Suspended for Failure to Disclose Unsatisfied Judgments and Tax Liens

John Crittenden, a former Crowell, Weedon & Co. stockbroker, was suspended for failure to disclose tax liens and judgments on his Form U4. Stockbrokers are required […]
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