Financial Advisors

Nov 5th, 2014
Published by Jeremy Hyndman at Nov 5th, 2014
Categories

West Hills Financial Advisor Barred From Securities Industry For “Pump-and-Dump” Scheme

David Lawrence Gabai of Comerica Securities was barred from the securities industry for manipulating the stock of National Technical Systems, Inc. (“NTSC”). NTSC was a thinly […]
Do you like it?1
0 Read more
Nov 4th, 2014
Published by Jeremy Hyndman at Nov 4th, 2014
Categories

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. […]
Do you like it?0
0 Read more
Nov 3rd, 2014
Published by Jeremy Hyndman at Nov 3rd, 2014
Categories

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 […]
Do you like it?0
0 Read more
Oct 6th, 2014
Published by Jeremy Hyndman at Oct 6th, 2014
Categories

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 […]
Do you like it?0
0 Read more
Oct 5th, 2014
Published by Jeremy Hyndman at Oct 5th, 2014
Categories

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 […]
Do you like it?0
0 Read more
Oct 4th, 2014
Published by Jeremy Hyndman at Oct 4th, 2014
Categories

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 […]
Do you like it?0
0 Read more
Oct 3rd, 2014
Published by Jeremy Hyndman at Oct 3rd, 2014
Categories

Los Angeles Stockbroker Barred from Securities Industry for Insider Trading & Providing False Information to Securities Regulator

Jonathan Kohanof, formerly of Houlihan Lokey Capital was recently barred from the securities industry by FINRA. According to FINRA, Mr. Kohanof used insider information to recommend […]
Do you like it?0
0 Read more
Oct 2nd, 2014
Published by Jeremy Hyndman at Oct 2nd, 2014
Categories

Newport Beach Stockbroker Fined and Suspended for Failure to Report Tax Liens

Terrence Welsh of D.A. Davidson & Co. was suspended for failure to report over $115,000 in tax liens. FINRA, a securities regulator, requires stockbrokers to report […]
Do you like it?0
0 Read more
Oct 2nd, 2014
Published by Jeremy Hyndman at Oct 2nd, 2014
Categories

Newport Beach Stockbroker Suspended for Failure to Disclose Unsatisfied Judgments and Tax Liens

John Crittenden, a former Crowell, Weedon & Co. stockbroker, was suspended for failure to disclose tax liens and judgments on his Form U4. Stockbrokers are required […]
Do you like it?0
0 Read more
Oct 1st, 2014
Published by Jeremy Hyndman at Oct 1st, 2014
Categories

Monterey Park Stockbroker Barred from Securities Industry for Promoting Ponzi Scheme

Toni “Tong” Chen, a former TransAmerica stockbroker, was barred by FINRA from the securities industry for failure to cooperate in an investigation into his involvement in […]
Do you like it?0
0 Read more
Prev page
123456789