California

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 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 5th, 2014
Published by Jeremy Hyndman at Nov 5th, 2014
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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 […]
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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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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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