Investment Firms

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 7th, 2014
Published by Jeremy Hyndman at Oct 7th, 2014
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Santa Barbara Stockbroker Suspended for Improper Sales of Private Securities

Travis Shannon of Morgan Stanley has been suspended for improperly selling $1.885 million in private securities. Private securities are investments that are not publicly traded or […]
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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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Oct 5th, 2014
Published by Jeremy Hyndman at Oct 5th, 2014
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Irvine Stockbroker Willfully Fails to Disclose Tax Liens

Mehran Sadri of Morgan Stanley received a fine and suspension for willful failure to disclose a $70,000 IRS tax lien on his Form U4, hiding this […]
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Oct 4th, 2014
Published by Jeremy Hyndman at Oct 4th, 2014
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California Stockbroker Barred from Securities Industry for Improperly Borrowing Money from Clients

Kent Lehman of Securian Financial Services, Inc., was barred from the securities industry for borrowing funds from clients. FINRA Rules generally bar stockbrokers from borrowing client […]
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