Common Misconduct

Apr 29th, 2015
Published by Jeremy Hyndman at Apr 29th, 2015
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Financial Advisor In Arbuckle Gives Investors Bad Advice, Costing Them $50,000

Dalas Gundersen, a financial advisor formerly with Edward Jones, has been fined and terminated for making a detrimental recommendation to customers. After following Gundersen’s advice, customers […]
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Apr 28th, 2015
Published by Jeremy Hyndman at Apr 28th, 2015
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Financial Advisor In Santa Barbara Falsifies Investors’ Signatures

Gregory Bolduc (“Bolduc”), a financial advisor formerly with UnionBanc Investment Services, has been fined and suspended for falsifying investor signatures. Bolduc photocopied the original signatures, and […]
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Apr 27th, 2015
Published by Jeremy Hyndman at Apr 27th, 2015
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Los Angeles based Wedbush Securities Covers Up Supervisory Failure By Falsifying Documents

Wedbush Securities (“Wedbush” or “the firm”), a brokerage firm located in Los Angeles, California, created and gave FINRA falsified documents regarding its review of the firm’s […]
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Apr 23rd, 2015
Published by Jeremy Hyndman at Apr 23rd, 2015
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Little Rock Broker-Dealer Sells Bonds with Outrageous Markups

R.M. Duncan Securities, Inc. (“DCAN” or the “Firm”) of Little Rock, Arkansas allegedly charged excessive markups on defaulted municipal bonds, generating additional income for the Firm […]
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Apr 21st, 2015
Published by Jeremy Hyndman at Apr 21st, 2015
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Atlanta Broker-Dealer Pays for Charging Customers Excessive Markups on Corporate Bonds

IFS Securities, Inc. (“IFS Securities” or the “firm”) of Atlanta, Georgia was censured and fined for selling corporate bonds to its customers with unreasonable markups given […]
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Apr 20th, 2015
Published by Jeremy Hyndman at Apr 20th, 2015
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J.W. Korth & Company’s Excessive Bond Markups Reduce Investor Returns

J.W. Korth & Company, Inc. (“J.W. Korth” or the “Firm”) of Lansing, Michigan allegedly charged excessive markups on municipal bond transactions, generating additional revenue for the […]
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Apr 15th, 2015
Published by Jeremy Hyndman at Apr 15th, 2015
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West Hills Financial Advisor Busted for False and Reckless Advertising

According to FINRA, Jonathan Jay Greenfield made reckless material misrepresentations in emails to customers regarding the features of GWG Holdings, Inc. (“GWG”) Renewable Secured Debentures (“Debentures”). […]
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Apr 13th, 2015
Published by Jeremy Hyndman at Apr 13th, 2015
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Calabasas Stockbroker Charged with Stock Manipulation

FINRA alleged that Scott Neal Glazer engaged in matched trading in an attempt to manipulate the price of National Technical Systems, Inc. (“NTSC”) stock and avoid […]
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Apr 9th, 2015
Published by Jeremy Hyndman at Apr 9th, 2015
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Visalia Stockbroker Transfers Half A Million Dollars Using Forged Signatures

Bruce Robert Geiger, a stockbroker at Thrivent Investment Management, Inc. (“Thrivent”), is accused of altering forms and forging signatures on life insurance related documents to process […]
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Apr 7th, 2015
Published by Jeremy Hyndman at Apr 7th, 2015
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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 […]
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