Ralph DeRose, Wunderlich Securities Ordered to Pay Investor $1,000,000. In April, 2017, a three member FINRA arbitration panel sitting in Cleveland, Ohio issued a $1,045,000 binding arbitration award against Ralph DeRose and Wunderlich Securities for violations in their Beachwood, OH office. The underlying matter involved allegations that Ralph DeRose…
Ricardo Cabrera investigation over Senior Secured Note sales. The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Ricardo Cabrera, a licensed FINRA registered representative from Las Vegas, Nevada, affiliated with G.F. Investment Services and Wittman Capital Management of Henderson,…
Robert Turpin, a registered representative from Arizona, formerly with Source Capital Group was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation into claims that he engaged in outside business activities with his member firm. FINRA Rule 9552. Failure to Provide Information or Keep…
Kyle Kurtz, a registered representative from Bay City, Michigan, formerly with Thrivent Investment Management was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide information or testimony requested…
Joe Don Treece, a registered representative from Rogers, Arkansas, formerly with Arvest Wealth Management and Raymond James was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide information…
Richard Raff, a registered representative from Brandon, Mississippi, formerly with Infinex Investments was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required…
Raymond Pirrello, a registered representative from Sparta, New Jersey, formerly with Garden State Securities was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide information or testimony requested…
Wesley Oler, a registered representative from Cos Cob, Connecticut, formerly with LPL Financial was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide information or testimony requested or…
Dennis Hern, a registered representative from Kapolei, Hawaii, formerly with Ameriprise Financial and First Command Financial was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide information or…
Jasper Boykin, a registered representative from Atlanta, Georgia, formerly with Metlife Securities, Quest Capital Strategies and Nationwide Securities was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide…