Borrowing Client Funds

Dec 23rd, 2015
Published by Jeremy Hyndman at Dec 23rd, 2015
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Al Doherty of Citigroup’s San Ramon Office Punished For Improperly Taking Money From Elderly Investor

Allison “Al” Taiye Doherty will have some extra time on her hands after receiving a four month suspension from the securities industry. According to the Financial […]
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Jun 18th, 2015
Published by Jeremy Hyndman at Jun 18th, 2015
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LPL Financial Advisor In Alhambra, California Borrows $19,700 From Investor And Then Lies To Firm

Emiliano Rocha Jr., formerly employed with LPL Financial and Invest Financial Corporation, has been suspended for seven months and fined $10,000. Rocha borrowed $19,700 from an […]
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Jun 10th, 2015
Published by Jeremy Hyndman at Jun 10th, 2015
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Financial Advisor In Lansdale, Pennsylvania Borrows Investor Money

Robert Forest Held Jr., a financial advisor formerly employed with Hornor Townsend & Kent Inc. (“HTK”), has been suspended and fined for borrowing funds from a […]
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May 29th, 2015
Published by Jeremy Hyndman at May 29th, 2015
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People’s Securities Inc. Financial Advisor Steals $17,400 From Client

Tricia Denise Willis (“Willis”) in Vernon, Connecticut has been banned from the securities industry for committing fraud and conversion. She forged a customer’s signature to withdraw […]
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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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