In a complaint filed by FINRA, and reported in September, 2015 Chestnut Exploration Partners, of Richardson, Texas and Mark Allan Plummer were named as Respondents alleging that they willfully made material misrepresentations and omissions to Chestnut Exploration Partners customers who purchased securities in a private placement oil and gas offering,…
In a FINRA Office of Hearing Officers’ decision reported in September, 2015 (which is presently on appeal) De Pere, Wisconsin broker dealer KCD Financial, Inc. was censured and fined $115,000. The sanctions were based on findings that the firm permitted registered representatives in two branch offices to use false and…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative John Waszolek of Scottsdale, AZ, and formerly associated with Raymond James submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member. Without admitting or denying the allegations, Waszolek…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Mike Talin of Seal Beach, CA, and formerly associated with Woodbury Financial Services submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Joe Schroeder of Dallas, Texas and formerly associated with Wunderlich Securities out of Plano submitted a letter of Acceptance, Waiver and Consent in which he was assessed a deferred fine of $20,000 and suspended from association with…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Emily Pena of San Antonio, Texas and formerly associated with New York Life Securities in San Antonio submitted a letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Matthew Levitt of Santa Monica, CA and formerly associated with Equinox Securities in Redlands, CA submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Kenneth Hornyak of Traverse City, MI and formerly associated with Stifel Nicholas 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…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Dylan Grayson of Plano, Texas and formerly associated with Merrill Lynch 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 September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that registered representative Vikas Goel of Chino Hills, CA and associated with Newport Coast Securities submitted a letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity…