In November, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Aldo Comuzzi of Boca Raton, FL, and formerly associated with Dawson James Securities submitted a letter of acceptance, waiver and consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying…
In November, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Ryan Bowers of San Diego, California submitted a letter of acceptance, waiver and consent in which he was assessed a deferred fine of $25,000 and suspended from association with any FINRA member in any capacity for five months. Without…
In November, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Jim Belenis of Davis, California submitted a letter of acceptance, waiver and consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 20 business days. Without admitting or denying the…
In November, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wiley Bros. Aintree Capital, LLC of Nashville Tennessee submitted a letter of acceptance, waiver and consent in which the firm was censured and fined $35,000. Without admitting or denying the findings, Wiley Bros. Aintree Capital consented to the sanctions…
In November, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Sterne Agee Financial Services, Inc. of Birmingham, Alabama) submitted a letter of Acceptance, Waiver and Consent in which the firm was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the sanctions and to…
In November, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Jeff Mohlman of Dayton, Ohio and formerly associated with Questar Capital submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying…
In November, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Todd Shanholtzer of Las Vegas, Nevada and formerly associated with Park Avenue Securities submitted a letter of Acceptance, Waiver and Consent in which he was assessed a deferred fine of $10,000 and suspended from association with any…
Daniel Pancake, a registered representative formerly affiliated with several Reno, Nevada based broker dealers was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction…
In a complaint filed by FINRA, and reported in September, 2015 Red River Securities of Plano, Texas and Brian Keith Hardwick were named respondents in a FINRA complaint alleging that they willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 by making material misrepresentations and…
In a complaint filed by FINRA, and reported in September, 2015 Equinox Securities, Inc. of Redlands, California, Stephen Oliveira of Phelan, California and Chris Palkowitsh of Cumming, Georgia were named respondents in a FINRA complaint alleging that Equinox Securities and Palkowitsh engaged in a manipulative, deceptive and fraudulent scheme by…