States

May 27th, 2015
Published by Jeremy Hyndman at May 27th, 2015
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Houston Broker-Dealer Sells Foreign Bonds with Shockingly High Markups

FINRA issued Monex Securities, Inc. (Monex or the Firm), a broker-dealer in Houston, Texas, a hefty fine for charging excessive markups on foreign bonds, generating additional […]
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May 26th, 2015
Published by Jeremy Hyndman at May 26th, 2015
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Chase Financial Advisor Steals $24,014 From Investor

Louis James Deeley (“Deeley”) in Santa Rosa, California has been banned from the securities industry for stealing $24,014 from an investor. Deeley forged the customer’s signature […]
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May 22nd, 2015
Published by Jeremy Hyndman at May 22nd, 2015
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Brokerage Firm In Orange, California Fined $190,000 For Selling Overpriced Bonds

B.B. Graham & Company, Inc. has been fined $190,000 after it sold corporate bonds to customers at an unfair price. The company neglected to consider relevant […]
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May 22nd, 2015
Published by Jeremy Hyndman at May 22nd, 2015
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Ameriprise Financial Advisor Suspended for Hiding Competing Outside Business Venture from Employer

Sean Eric Mattson of South Lyon, Michigan was suspended for one month for failing to disclose his outside business activity of financial planning services to his […]
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May 21st, 2015
Published by Jeremy Hyndman at May 21st, 2015
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Million Dollar Ponzi Scheme Flourishes as Investment Firm Fails to Supervise Financial Advisor

FINRA fined and barred Terry Joe Bagwell of Pruco Securities, LLC (Pruco or the “Firm”) in Hoover, Alabama from the securities industry for participating in a […]
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May 21st, 2015
Published by Jeremy Hyndman at May 21st, 2015
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Charles Schwab Investment Advisor Suspended for Stealing Confidential Customer Information

Sadeer Thomas Jamil of Commerce, Michigan, was suspended from the securities industry. He took over 150 pictures of his customer’s “nonpublic personal information,” and moved the […]
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May 21st, 2015
Published by Jeremy Hyndman at May 21st, 2015
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Midlothian, Texas Financial Advisor Discloses Confidential Investor Information

Raymond Leslie Boykin (Boykin or the “Firm”), a financial advisor formerly with AAEC Equities Corporation (“AAEC”), has been reported to FINRA for taking confidential customer information […]
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May 20th, 2015
Published by Jeremy Hyndman at May 20th, 2015
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Morgan Stanley Financial Advisor Steals $20,000 From Investor

Patrick James Manriquez (“Manriquez”) from Beaumont, Texas has been banned from the securities industry for stealing $20,000 from an investor. He deceived the investor by making […]
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May 20th, 2015
Published by Jeremy Hyndman at May 20th, 2015
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Gilbert Investment Advisor Suspended for Withholding Outside Business Activities from Employer

James A. Rosebrough Jr. of Gilbert, Arizona was fined and suspended for 30 days after participating in outside business ventures with a client, and withholding the […]
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May 19th, 2015
Published by Jeremy Hyndman at May 19th, 2015
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Wells Fargo Financial Advisor Recommends Customers Make Risky $2,000,000 Investment To Get Large Commissions

Douglas Jay Melzer (“Melzer”) in Mars, Pennsylvania has been barred from the securities industry for making biased recommendations to customers to invest in private securities. Melzer […]
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