Financial Advisors

Dec 6th, 2014
Published by Jeremy Hyndman at Dec 6th, 2014
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Seattle Stockbroker Suspended for Secretly Pushing Clients into Risky Pre-IPO Investments

Benjamin Doyle Maleche of LPL Financial was recently fined and suspended for failing to tell his member firm—JP Morgan at the time—that he was recommending his […]
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Dec 5th, 2014
Published by Jeremy Hyndman at Dec 5th, 2014
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Were client funds stolen at Credit Agricole Securities?

Michael Gregg Lieberman was barred from association with FINRA members due to his failure to cooperate in an investigation regarding client funds he allegedly stole while […]
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Dec 4th, 2014
Published by Jeremy Hyndman at Dec 4th, 2014
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Pleasant Hill Stockbroker Fined for Sending Bad Tweets

Jon Robert Hickman of Ladenburg Thalman & Co., Inc. was fined and suspended for Twitter posts about securities that were not fair and balanced, and also […]
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Dec 3rd, 2014
Published by Jeremy Hyndman at Dec 3rd, 2014
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Savannah Broker John Wesley DuRant, III Fined for Improper Sales of Equity-indexed Annuities

Mr. Durant of Pruco Securities—Prudential’s brokerage firm—was fined and suspended for improper sales of equity-indexed annuities. Equity-indexed annuities are complex financial products which generally pay high […]
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Dec 2nd, 2014
Published by Jeremy Hyndman at Dec 2nd, 2014
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San Diego Stockbroker Suspended for Unreported Involvement in Biotech Startup

Michael Dinerman of Piper Jaffray & Co. was fined and suspended from association with any FINRA member firm for failure to disclose outside business activities to […]
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Dec 1st, 2014
Published by Jeremy Hyndman at Dec 1st, 2014
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Carlsbad Stockbroker Chase Bishop Casson Barred From Securities Industry

Mr. Casson of Trustmont Financial Group has been barred from association with any FINRA member firm in any capacity. He failed to comply with four requests […]
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Nov 10th, 2014
Published by Jeremy Hyndman at Nov 10th, 2014
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Financial Advisor in San Jose Barred for Pushing Unsuitable Variable Universal Life Policies on Unsophisticated Investors.

Angelo Xagoraris of TransAmerica Financial Advisors was recently barred from the securities industry for violation of FINRA’s suitability and other rules. Mr. Xagoraris sold variable universal […]
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Nov 9th, 2014
Published by Jeremy Hyndman at Nov 9th, 2014
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What Misconduct Occurred at BB&T Securities?

In Lawrenceville, BB&T Securities financial advisor Sandra McClure was recently terminated, according to BB&T, for “failure to follow policy/procedure.” When the Financial Industry Regulatory Authority (“FINRA”) […]
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Nov 8th, 2014
Published by Jeremy Hyndman at Nov 8th, 2014
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Were Customer Funds Stolen at Wells Fargo Advisors?

In Atlanta, Wells Fargo Advisors broker Timothy Landrum was recently barred from the securities industry for failure to respond to regulator inquiries about alleged theft of […]
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Nov 7th, 2014
Published by Jeremy Hyndman at Nov 7th, 2014
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Bellevue Registered Representative Barred From Securities Industry For Inaccurate Life Insurance Applications and Hiding His Federal Tax Liens

Sean Howell of Hornor, Townsend & Kent was recently barred from the securities industry. According to FINRA, Mr. Howell submitted inaccurate life insurance applications to his […]
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