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Jun 12th, 2015
Published by Jeremy Hyndman at Jun 12th, 2015
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PFS Investments Financial Advisor Tells Client To Invest $160,000 In Scam

Norma Monica Skeete from Arlington, Virginia is responsible for an investor losing approximately $160,000. She recommended an investment scam to a client without checking to make […]
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Jun 11th, 2015
Published by Jeremy Hyndman at Jun 11th, 2015
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Indianapolis Financial Advisor Makes Unauthorized Trades In Investors’ Accounts

James Madden, a financial advisor with Raymond James & Associates, has been fined and suspended for unauthorized trading in investors’ accounts. FINRA rules as well as […]
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Jun 10th, 2015
Published by Jeremy Hyndman at Jun 10th, 2015
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Financial Advisor In Lansdale, Pennsylvania Borrows Investor Money

Robert Forest Held Jr., a financial advisor formerly employed with Hornor Townsend & Kent Inc. (“HTK”), has been suspended and fined for borrowing funds from a […]
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Jun 9th, 2015
Published by Jeremy Hyndman at Jun 9th, 2015
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This Merrill Lynch Financial Advisor Stole Over $100K From Investors

Tammy Charlene Petersen, a financial advisor from Carrollton, Virginia, has been barred from the securities industry for stealing $107,378 from firm customers. She wired money from […]
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Jun 8th, 2015
Published by Jeremy Hyndman at Jun 8th, 2015
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Five Million Dollar Investment Scam Rips Off Investors In Maryland, Virginia, And California

Investors were defrauded by the employees of two separate companies, North Star Finance LLC and Capital Source Lending LLC, when the employees persuaded them to invest […]
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Jun 7th, 2015
Published by Jeremy Hyndman at Jun 7th, 2015
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Financial Advisor In Bethesda, Maryland Hides Felony

An investor deserves to know if their financial advisor has committed burglary and owes back taxes to the IRS. Patrick M. Ebel, formerly employed with NYLife […]
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Jun 3rd, 2015
Published by Jeremy Hyndman at Jun 3rd, 2015
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Gray Financial Group Defrauds Police And Firefighter Pension Funds

The Securities and Exchange Commission (“SEC”) has charged Gray Financial Group, as well as its president, Laurence Gray (“Gray”), and co-CEO, Robert Hubbard (“Hubbard”), with fraud. […]
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Jun 1st, 2015
Published by Jeremy Hyndman at Jun 1st, 2015
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Los Angeles Financial Advisor Makes Excessive Commissions With Unauthorized Trades

Armen Bahadourian, formerly registered with UnionBanc, has been fined $10,000 for violating FINRA rules, and must pay back $6,880.75 in disgorgement of wrongly earned commissions. Bahadourian […]
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May 29th, 2015
Published by Jeremy Hyndman at May 29th, 2015
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People’s Securities Inc. Financial Advisor Steals $17,400 From Client

Tricia Denise Willis (“Willis”) in Vernon, Connecticut has been banned from the securities industry for committing fraud and conversion. She forged a customer’s signature to withdraw […]
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May 28th, 2015
Published by Jeremy Hyndman at May 28th, 2015
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Financial Advisor With City Securities Corporation Makes Unauthorized Transactions In Customer Accounts

Leonard E. Tanner (“Tanner”) in Indianapolis, Indiana has been fined $15,000 and suspended from the securities industry for making unauthorized transactions in customer accounts. Tanner made […]
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