Common Misconduct

Nov 8th, 2014
Published by Jeremy Hyndman at Nov 8th, 2014
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Were Customer Funds Stolen at Wells Fargo Advisors?

In Atlanta, Wells Fargo Advisors broker Timothy Landrum was recently barred from the securities industry for failure to respond to regulator inquiries about alleged theft of […]
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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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Nov 5th, 2014
Published by Jeremy Hyndman at Nov 5th, 2014
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West Hills Financial Advisor Barred From Securities Industry For “Pump-and-Dump” Scheme

David Lawrence Gabai of Comerica Securities was barred from the securities industry for manipulating the stock of National Technical Systems, Inc. (“NTSC”). NTSC was a thinly […]
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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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Nov 1st, 2014
Published by Jeremy Hyndman at Nov 1st, 2014
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SunTrust Investment Services Overcharges Advisory Clients

SunTrust received an $80,000 fine for overcharging investment advisory accounts. It appears that the misconduct lasted approximately two and a half years. SunTrust has returned approximately […]
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Oct 31st, 2014
Published by Jeremy Hyndman at Oct 31st, 2014
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Atlanta Broker-Dealer Lamon & Stern, Inc., fined for failure to supervise its stockbrokers.

Lamon & Stern was recently censured and fined $25,000 for its failure to supervise its stockbrokers in several important ways. The firm failed to establish a […]
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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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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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