Common Misconduct

Sep 15th, 2015
Published by Jeremy Hyndman at Sep 15th, 2015
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David W. Unsworth Attempts to Silence Complaining Customers from FINRA

David Woods Unsworth Jr. of Belvedere, California was recently fined $25,000 and suspended for six months, according to reports from Financial Industry Regulatory Authority, or FINRA. […]
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Sep 14th, 2015
Published by Jeremy Hyndman at Sep 14th, 2015
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Alejandro A. Torres Scams $59,000 From Customer for Shady Startup Venture

Alejandro Ariel Torres of Hollywood, Florida was permanently barred and fined $59,600 plus interest in a deferred restitution to a customer, according to Financial Industry Regulatory […]
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Sep 13th, 2015
Published by Jeremy Hyndman at Sep 13th, 2015
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Permanently Barred: Advisor Cecilia Le at J.P. Morgan Securities Steals Client Money

Cecilia Carolyn Hang Minh Le of Santa Ana, California was permanently barred from “acting as a broker or otherwise associating with firms that sell securities to […]
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Sep 13th, 2015
Published by Jeremy Hyndman at Sep 13th, 2015
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John M. Saad Permanently Barred After Falsifying Expense Reports

John Michael Elias Saad of Atlanta, Georgia was recently barred “from acting as a broker or otherwise associating with firms that sell securities to the public.” […]
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Sep 10th, 2015
Published by Jeremy Hyndman at Sep 10th, 2015
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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 […]
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Sep 8th, 2015
Published by Jeremy Hyndman at Sep 8th, 2015
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New Report Reveals Wells Fargo Advisors Were Unethically Front Running Customers

Financial Industry Regulatory Authority, or FINRA, recently reported that representatives from Wells Fargo Advisors, LLC. in St. Louis, Missouri unethically prioritized their own interests above their […]
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Sep 4th, 2015
Published by Jeremy Hyndman at Sep 4th, 2015
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High Markup Corporate Bonds Make Big Money for Source Capital Group, but Not Clients

Source Capital Group, Inc. was recently fined and censured by the Financial Industry Regulatory Authority, or FINRA, for selling corporate bonds to customers at an unfair, […]
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Sep 3rd, 2015
Published by Jeremy Hyndman at Sep 3rd, 2015
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OFS Securities Inc. Client Loses $600,000 from Ill Advised Lehman-backed Investment

This July, Financial Industry Regulatory Authority, or FINRA, reported a recent closure of a case involving the gauche activities of OFS Securities Inc. from 2011 through […]
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Aug 31st, 2015
Published by Jeremy Hyndman at Aug 31st, 2015
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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 […]
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Aug 27th, 2015
Published by Jeremy Hyndman at Aug 27th, 2015
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Malicious Variable Annuity Surrenders Make Treasure Trove for Cadaret, Grant & Co.

According to recent reports from Financial Industry Regulatory Authority, or FINRA, the Syracuse, New York-headquartered independent-brokerage firm Cadaret, Grant & Co., Inc. was fined $75,000 and […]
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