Common Misconduct

Dec 2nd, 2015
Published by Jeremy Hyndman at Dec 2nd, 2015
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Massive Ponzi Scheme And Life Settlement Scam By James Torchia of Credit Nation Raises Investment Fraud To A Whole New Level In Canton, Georgia

According to a complaint recently filed by the Securities & Exchange Commission (SEC) in the U.S. District Court for the Northern District of Georgia, tens of […]
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Nov 27th, 2015
Published by Jeremy Hyndman at Nov 27th, 2015
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Integrated Trading And Investments Financial Advisor Wayne Thaler Overcharged Clients in Metter, Georgia

A Georgia financial advisor, Wayne Thaler, has been barred from the brokerage industry for three months for charging inflated commissions on the sale of penny stocks. […]
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Nov 27th, 2015
Published by Jeremy Hyndman at Nov 27th, 2015
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OneAmerica Financial Advisor Brantly Chavis Jr. Steals At Least $25,000 From Customer In Aliso Viejo

A OneAmerica broker in Aliso Viejo, California, has been permanently barred from the brokerage industry for conduct that can only be described as shocking. While working […]
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Nov 25th, 2015
Published by Jeremy Hyndman at Nov 25th, 2015
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Edward Jones Financial Advisor Bernard Parker Faces Criminal Charges For Operating Ponzi Scheme in Indiana, Pennsylvania

Bernard Parker stole investor money to remodel his house, but now it looks like he will be living in a federal penitentiary. According to the Securities […]
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Nov 25th, 2015
Published by Jeremy Hyndman at Nov 25th, 2015
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Allstate Financial Advisor Kenneth Brownlee Implicated in Ponzi Scheme in Buford, Georgia

Mr. Brownlee has been barred from the brokerage business after getting his clients into a Ponzi scheme, according to a hearing panel decision recently issued by […]
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Nov 20th, 2015
Published by Jeremy Hyndman at Nov 20th, 2015
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James (“Jim”) Belenis of KMS Financial Fined and Suspended For Improper Sales of Gold Mining Company in Davis California

James D. (“Jim”) Belenis of KMS Financial in Davis, California went off the reservation and ended up in a gold mine. Mr. Belenis broke FINRA rules. […]
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Nov 12th, 2015
Published by Jeremy Hyndman at Nov 12th, 2015
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Philip Dunwoody Cox of Bluestone Wealth Planning Suspended for Creating False Financial Records

The Financial Industry Regulatory Authority (FINRA) recently suspended Mr. Cox from associating with any broker-dealer for three months due to his conduct at Sterne Agee. According […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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Investors Overcharged at National Planning Corp, a Jackson National Life Affiliate

The Financial Industry Regulatory Authority (FINRA) recently fined National Planning Corporation (NPC) $30,000 for overcharging clients who purchased non-traded REITs. Non-traded REITs are a risky, illiquid […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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At JP Turner Our Customers Are Number… Two?

JP Turner is once again in the regulatory spotlight, being fined by $45,000 by FINRA for failing to give their clients volume discounts their investors were […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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Lonny Bernath of Headline Capital Management LLC Targeted By The SEC

According to the Securities and Exchange Commission, Lonny Bernath established several investment funds, but misled investors as to how their funds would be invested, and failed […]
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