Client Fund Transfer

Nov 10th, 2016
Published by Jeremy Hyndman at Nov 10th, 2016
Categories

Investors Capital Corp. in Trouble. Again.

The bad news for Investors Capital Corp., an independent brokerage firm, just keeps coming. Recently one of its financial advisors, Cyrus Lamont Hancock of Marietta, Georgia, […]
Do you like it?0
0 Read more
Sep 10th, 2015
Published by Jeremy Hyndman at Sep 10th, 2015
Categories

Cape Securities’ CCO Michael Lovett Establishes Inadequate Supervisory System That Leads to Wire Transfer Fraud

Michael Allen Lovett of Lawrenceville, Georgia was recently fined $5,000 and suspended for six months, according to Financial Industry Regulatory Authority, or FINRA. Reports detail that […]
Do you like it?0
0 Read more
Aug 31st, 2015
Published by Jeremy Hyndman at Aug 31st, 2015
Categories

Cape Securities’ Representative Caught in Fraudulent Wire Transfer Activity

Recent reports from Financial Industry Regulatory Authority, or FINRA, detail a macabre series of fraudulent wire transfers. From February through September 2012, a registered representative of […]
Do you like it?0
0 Read more
May 20th, 2015
Published by Jeremy Hyndman at May 20th, 2015
Categories

Morgan Stanley Financial Advisor Steals $20,000 From Investor

Patrick James Manriquez (“Manriquez”) from Beaumont, Texas has been banned from the securities industry for stealing $20,000 from an investor. He deceived the investor by making […]
Do you like it?0
0 Read more
May 5th, 2015
Published by Jeremy Hyndman at May 5th, 2015
Categories

FINRA Bans Grand Rapids Financial Advisor for Stealing Client Funds

Steven James Dunkelberg, Jr. a financial advisor with Fifth Third Securities, Inc. in Grand Rapids, Michigan, was barred from the securities industry for misappropriating client funds […]
Do you like it?0
0 Read more
Apr 7th, 2015
Published by Jeremy Hyndman at Apr 7th, 2015
Categories

Manteca Financial Advisor Barred From Securities Industry For Taking Money From Client’s Account

Randall A. Samson (“Mr. Samson”), a financial advisor with Ameriprise Financial Services, Inc. (“Ameriprise”), was barred from association with any FINRA member after transferring funds out […]
Do you like it?0
0 Read more