Adam Estes suspended by FINRA In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Adam Estes of Bloomington, Indiana, a registered representative formerly with JJB Hilliard submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member in any capacity for fifteen…
Jonathan Casiano barred by FINRA In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Jonathan Casiano of Mansfield, Texas, a registered representative formerly with J.P. Morgan Securities of Arlington, Texas submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in…
FINRA suspends Thomas Brenner over private securities transactions. In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Thomas Brenner of Orrville, Ohio, a registered representative formerly with First American Securities submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member in…
FINRA suspends former LPL broker Michael Barranco In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Michael Barranco of Montgomery, Alabama, a registered representative formerly with LPL Financial submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member in any capacity…
FINRA fines Pro Equities $200,000. In October, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Pro Equities of Birmingham, AL submitted an acceptance, waiver and consent letter regarding its failure to supervise sales of non-traditional exchange traded funds (ETFs). The firm was fined $200,000 by FINRA. FINRA’s allegations against…
FINRA charges Neal Moon over Boxx Technologies sales In a complaint filed by the FINRA Department of Enforcement in July, 2016 Neal Moon of Dallas Texas, a former registered representative with Waddell & Reed was charged with participating in over two and a half million dollars of private securities transactions…
FINRA charges David Braeger of Rubicon Capital In a complaint filed by the FINRA Department of Enforcement in July, 2016 David Braeger of Bayside, Wisconsin was charged with misusing customer funds and failing to return funds to the customers. The allegations include charges that the Barager misused customer funds intended…
George Zedan barred by FINRA In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that George Zedan of Whittier, CA a registered representative formerly with Western International Securities of Glendale, CA and LPL Financial submitted an acceptance, waiver and consent letter whereby he was barred from association with any…
J.R. Gladden suspended by FINRA. In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that J.R. Gladden of La Mesa, CA a registered representative formerly with Securities Equity Group of El Cajon, CA submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA…
In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Peter Alcure of Locust Valley, NY a registered representative with Petersen Investments of Locust Valley, NY submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA for thirty days and fined $30,000. The…