Financial Advisors

Mar 20th, 2015
Published by Jeremy Hyndman at Mar 20th, 2015
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Irvine Stockbroker Barred From Securities Industry For Improper Withdrawals From Investor’s Account

Peter Kim, a former stockbroker with Morgan Stanley, has been barred from the securities industry. According to FINRA, Kim refused to cooperate with an investigation into […]
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Mar 19th, 2015
Published by Jeremy Hyndman at Mar 19th, 2015
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Wedbush Securities Busted For Failing To Disclose Customer Complaints, Harming The Investing Public

Wedbush Securities is in hot water for failing to timely and properly disclose its brokers’ bankruptcies, customer complaints, criminal allegations, and other serious matters. According to […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Montgomery Stockbroker Suspended Four Months For Taking Money From Elderly Client

James Gilbert, formerly of J.P. Morgan, was recently fined and suspended for borrowing money from a client. The new client was both elderly and infirm. FINRA […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Spokane Financial Advisor Misappropriated Over $300,000 Of Customers’ Money

John C. Hanson, formerly a financial advisor at Northwestern Mutual, has been permanently barred from the securities industry. Mr. Hanson refused to comply with requests for […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Fircrest Financial Advisor Barred From Securities Industry For Steering Seniors Into Bogus Investments

Patrick Harrison, a former financial advisor at CUSO Financial Services, was recently barred from the securities industry. According to the Financial Industry Regulatory Authority (“FINRA”), Mr. […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Westover Stockbroker Barred From Associating With Broker-Dealers, But Is Still Active Investment Advisor

James McLaughlin was recently terminated from Securities America and barred by FINRA from associating with any of its members in any capacity. According to the Financial […]
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Jan 19th, 2015
Published by Jeremy Hyndman at Jan 19th, 2015
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Alpharetta Stockbroker Fined For Failure To Report IRS Liens

Michael “Mike” Smith of Financial Telesis has been suspended for failure to disclose numerous federal tax liens filed against him. Stockbrokers are required to report several […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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Martin Kelly Capital Management Defrauds Professional Athletes

The SEC filed fraud charges against investment adviser Bill Crafton of Martin Kelly Capital Management. Apparently, Mr. Crafton has provided advisory services for professional athletes in […]
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Dec 8th, 2014
Published by Jeremy Hyndman at Dec 8th, 2014
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California Variable Annuities Broker Swapped Fluids to Close Sales

Antonio “Pedro” Vergaray Falcon of Granada Hills, California was terminated from NY Life after an internal investigation concluded that he had provided his own fluid samples […]
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Dec 7th, 2014
Published by Jeremy Hyndman at Dec 7th, 2014
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FINRA alleges Buford Stockbroker Improperly Sold Risky, Private Securities

Kenneth Brownlee of AllState Financial Services allegedly convinced clients to invest in a private company without disclosing the sales to his employer, and while he received […]
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