Brett McCullough barred by FINRA. Brett McCullough, a registered representative from Baton Rouge, LA formerly with Hancock Investment Services of Baton Rouge 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…
MML borker Tony Jung barred. Tony Jung, a registered representative from Fort Lee, NJ formerly with MML Investors Services of Springfield, MA 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…
Adam Carrol suspended. Adam Carrol, a registered representative from Oswego, IL formerly with MetLife Securities of Downer’s Grove, IL 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…
FINRA suspends Louis Kittlaus. In December, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Louis Kittlaus of Naples, FL formerly with Wall Street Strategies of Chicago, IL was suspended from association with any FINRA member in any capacity for two years and fined $25,000. The FINRA complaint alleged that…
FINRA bars Tracy wengert. In December, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Tracy Wengert of Lakeside, AZ formerly with Transamerica Financial and World Group Securities, both of Mesa, AZ submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in…
Karen Tautges Parisian suspended by FINRA. In December, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Karen Tautges-Parisian of Minnetonka, MN formerly with Ameriprise Financial Services of New Prague, MN submitted an acceptance, waiver and consent letter whereby she was suspended from association with any FINRA member in any…
David Scholl suspended by FINRA. In December, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that David Scholl of Caledonia, MI formerly with Planmember Securities of Grand Rapids, MI submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member in any capacity for…
Michael Duch suspended by FINRA. In December, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Michael Duch of Aberdeen, South Dakota with Kovack Securities of Aberdeen, SD submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member in any capacity for twenty…
FINRA bars Randy Burke. In December, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Randy Burke of Ferguson, North Carolina formerly with Calton and Associates and Capital Investment Group, both of Hickory, NC submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA…
Maxwell SImon fined by FINRA. In December, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Maxwell Simon of Minneapolis, MN submitted an acceptance, waiver and consent letter regarding its failure to supervise its registered representatives in their sales of unregistered microcap securities. In agreeing to the AWC, the firm…