David Ferwerda sold Woodbridge and 1 Global Capital Investments David Ferwerda, a registered representative from Grand Rapids, Michigan, formerly with Signator Investors and Valic Financial Advisors, was barred from FINRA membership as a result of an investigation into his participation in a private securities transactions without obtaining his firm’s prior…
FINRA suspends Waco Texas broker Michael Kamperman for 20 months Michael Kamperman, a registered representative from Waco, Texas, formerly with H.D. Vest Investment Services and Prospera Financial Services, was suspended from FINRA membership as a result of an investigation into securities related activity conducted by regulator FINRA. Findings made in…
Nina Jessee barred for refusing to cooperate with a FINRA investigation. Nina Jessee, a registered representative from Abingdon, Virginia, formerly with Cetera Advisors and Investors Capital Corp., was barred from FINRA membership as a result of her refusing to cooperate with a FINRA investigation into her recommendation of alternative inestments,…
Hossein Amirriahei, a registered representative from Los Angeles, California, formerly with Wells Fargo Advisors was barred from FINRA membership as a result of failing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
Lake Elmo broker Jeff Kluge barred by FINRA. Jeff Kluge, a registered representative from Lake Elmo, Minnesota, formerly with Merrill Lynch’s St. Paul, MN office was barred from FINRA membership as a result of failing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep…
Alonza Barnett, (Al Barnett) a registered representative from Greensboro, North Carolina, formerly with Ameritas Investment Corp was barred from FINRA membership as a result of failing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA…
FINRA bars Lonnie Nguyen aka Luan Nguyen. Lonnie Nguyen, a registered representative from Irvine, California, formerly with Pruco Securities was barred from FINRA membership as a result of failing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides…
Quinn McClendon is barred by FINRA. Quinn McClendon, a registered representative from Philadelphia, PA, formerly with Citizens Securities, Mutual of Omaha Investors Services and Wells Fargo Advisors was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information…
FINRA bars Barry Jin of Fresh Meadows, NY Barry Jin, (aka Boqian Jin) a registered representative from Fresh Meadows, NY, formerly with Spartan Capital, Lampert Capital, PHX Financial and John Carris Securities was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule…
Michael Quiles of LPL Financial was suspended by FINRA. Michael Quiles, a registered representative from Commack, NY, formerly with LPL Financial, Metlife Securities and AXA Advisors was suspended from FINRA membership. In February, 2016 he was discharged from LPL after receiving a loan from a non client, a violation of…