The SEC charged former J.D. Nicholas broker Don Fowler with violating the securities laws for churning customer accounts. On January 10, 2017 the SEC charged Don Fowler of Massapequa, N.Y. a registered representative with Worden Capital Management, and previously with J.D. Nicholas & Associates (f/k/a A & F Financial Securities)…
Worden Capital’s Greg Dean charged by SEC with churning customer accounts. On January 10, 2017 the SEC charged Greg Dean of Seaford, N.Y. a registered representative with Worden Capital Management, and previously with J.D. Nicholas & Associates with excessively trading customer accounts for the purpose of generating commissions. This type…
FINRA charges Rusty Tweed over fund transactions. On April 27, 2017 FINRA charged Rusty Tweed of Glendale California, a registered representative with Cabot Lodge Securities and formerly with Concorde Investment Services with making misstatements to investors in connection with a private placement in a company that utilized a computerized trading…
Source Capital Group’s Don Saccomano suspended by FINRA. Don Saccomano, a registered representative from Norwalk, Connecticut, formerly with Janney Montgomery Scott and Source Capital Group was suspended from FINRA membership as a result of failing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep…
FINRA bars former Park Avenue Securities broker William Roe. William Roe, a registered representative from Fontana, California, formerly with Park Avenue Securities and Crowell Weadon 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…
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…