California

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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Oct 3rd, 2014
Published by Jeremy Hyndman at Oct 3rd, 2014
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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 […]
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Oct 2nd, 2014
Published by Jeremy Hyndman at Oct 2nd, 2014
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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 […]
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Oct 2nd, 2014
Published by Jeremy Hyndman at Oct 2nd, 2014
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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 […]
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Oct 1st, 2014
Published by Jeremy Hyndman at Oct 1st, 2014
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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 […]
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