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Apr 6th, 2015
Published by Jeremy Hyndman at Apr 6th, 2015
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Financial Advisor With Morgan Stanley Engages In Unauthorized Trading

A financial advisor with Morgan Stanley has been punished for making sale transactions in an investor’s account, without the investor’s consent. Shawn Richardson forced the investor […]
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Apr 3rd, 2015
Published by Jeremy Hyndman at Apr 3rd, 2015
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National Securities Corporation Fined for Failure to Report Customer Complaints

National Securities Corporation (“National”) was reprimanded and fined for failing to file customer complaints and settlements with the Financial Industry Regulatory Authority (“FINRA”). National, a member […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Spokane Financial Advisor Misappropriated Over $300,000 Of Customers’ Money

John C. Hanson, formerly a financial advisor at Northwestern Mutual, has been permanently barred from the securities industry. Mr. Hanson refused to comply with requests for […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Fircrest Financial Advisor Barred From Securities Industry For Steering Seniors Into Bogus Investments

Patrick Harrison, a former financial advisor at CUSO Financial Services, was recently barred from the securities industry. According to the Financial Industry Regulatory Authority (“FINRA”), Mr. […]
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Dec 6th, 2014
Published by Jeremy Hyndman at Dec 6th, 2014
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Seattle Stockbroker Suspended for Secretly Pushing Clients into Risky Pre-IPO Investments

Benjamin Doyle Maleche of LPL Financial was recently fined and suspended for failing to tell his member firm—JP Morgan at the time—that he was recommending his […]
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Nov 7th, 2014
Published by Jeremy Hyndman at Nov 7th, 2014
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Bellevue Registered Representative Barred From Securities Industry For Inaccurate Life Insurance Applications and Hiding His Federal Tax Liens

Sean Howell of Hornor, Townsend & Kent was recently barred from the securities industry. According to FINRA, Mr. Howell submitted inaccurate life insurance applications to his […]
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Oct 8th, 2014
Published by Jeremy Hyndman at Oct 8th, 2014
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Edmonds Stockbroker Fined and Suspended for Improper Sales of Private Securities

David Taylor of Farmers Financial Solutions, the brokerage arm of Farmers Insurance, improperly sold $395,000 in private securities to his clients. Mr. Taylor established a company, […]
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