Kuana Vick, a registered representative from Fayettville, North Carolina, formerly with First Citizens Investor Services 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…
Michael Vetere, a registered representative from Bronx, NY, formerly with Hornor, Townsend & Kent and NY Life 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…
Ladd Tanner, a registered representative from Sandy, Utah, formerly with Trustmont Financial Group and GunnAllen 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…
Craig Ruschmeyer, a registered representative from Cottage Grove, Minnesota, formerly with Feltl & Company and Wells Fargo Advisors 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…
Tedla Khan, a registered representative from Hong Kong, formerly with Goldman Sachs & Company 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…
Mark Stanczyk investigated for over-concentration in elderly client’s accounts. The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Mark Stanczyk, a licensed FINRA registered representative formerly affiliated with Leigh Baldwin & Company and Pinnacle Investments. Mark Stanczyk has been…
The SEC won its summary judgment motion (SEC v Aschere ) against Aschere Energy on its claim that Aschere sold unregistered securities to the public. Investors who purchased Aschere securities, especially in the “Wied Field” program should review their legal rights immediately. On July 8, 2016 a federal judge in…
In January, 2017 FINRA barred former broker, Allstate Financial’s Michael Farinella Michael Farinella, a registered representative from Florrisant, Missouri, formerly with AllState Financial Services 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…
In January 2017, former JP Morgan broker Sam Campos was barred by FINRA for violating Rule 9552. Sam Campos, a registered representative from Forney, Texas, formerly with JP Morgan Securities was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information…
January, 2017: FINRA announces Debbie Sue Arnold Barred for violating FINRA Rule 9552 Debbie Sue Arnold, a registered representative from Albany, Ohio, formerly with Farmers Financial Solutions was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA…