Common Misconduct

May 21st, 2015
Published by Jeremy Hyndman at May 21st, 2015
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Midlothian, Texas Financial Advisor Discloses Confidential Investor Information

Raymond Leslie Boykin (Boykin or the “Firm”), a financial advisor formerly with AAEC Equities Corporation (“AAEC”), has been reported to FINRA for taking confidential customer information […]
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May 20th, 2015
Published by Jeremy Hyndman at May 20th, 2015
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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 […]
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May 20th, 2015
Published by Jeremy Hyndman at May 20th, 2015
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Gilbert Investment Advisor Suspended for Withholding Outside Business Activities from Employer

James A. Rosebrough Jr. of Gilbert, Arizona was fined and suspended for 30 days after participating in outside business ventures with a client, and withholding the […]
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May 19th, 2015
Published by Jeremy Hyndman at May 19th, 2015
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Wells Fargo Financial Advisor Recommends Customers Make Risky $2,000,000 Investment To Get Large Commissions

Douglas Jay Melzer (“Melzer”) in Mars, Pennsylvania has been barred from the securities industry for making biased recommendations to customers to invest in private securities. Melzer […]
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May 18th, 2015
Published by Jeremy Hyndman at May 18th, 2015
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OneAmerica Is Fined $75,000 For Not Stopping Financial Advisor From Ripping Off Investors

OneAmerica Securities, Inc. (“OneAmerica”), located in Indianapolis, Indiana, has been fined $75,000 for failing to detect unauthorized transfers of funds as well as unsuitable recommendations made […]
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May 14th, 2015
Published by Jeremy Hyndman at May 14th, 2015
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Irvine Stockbroker Suspended for Failing to Disclose Almost $500,000 in Unsatisfied Tax Liens

Andrew Henry Conley, a stockbroker with B.B. Graham & Company, Inc. in Riverside, California, was suspended for failing to timely update his Form U4 to disclose […]
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May 12th, 2015
Published by Jeremy Hyndman at May 12th, 2015
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Irving Securities Company EDI Financial Inc., Fined $100,000 for Failing to Supervise Customer Accounts

FINRA issued EDI Financial, Inc. (EDI), a Texas brokerage firm, a hefty $100,000 fine for pushing customers to purchase numerous private placements despite the danger of […]
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May 11th, 2015
Published by Jeremy Hyndman at May 11th, 2015
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Irvine Firm, Ascendiant Capital Markets, Ignores Customer Complaint And Misrepresents Quality Of Its Financial Advisors

Ascendiant Capital Markets, LLC (“Ascendant”) has been reported to FINRA for allegedly not reporting a customer complaint against one of its financial advisors on time. The […]
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May 5th, 2015
Published by Jeremy Hyndman at May 5th, 2015
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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 […]
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May 5th, 2015
Published by Jeremy Hyndman at May 5th, 2015
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Worcester Financial Advisor Fined for Hiding Outside Business Venture from Employer

Perry Stephen Abbonizio of Worcester, Pennsylvania was fined and suspended for participating in outside business activities, and persuading his customers to invest, without providing notice to […]
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