Kenneth Dlouhy, a registered representative formerly with Cantone Research in Tinton Falls, NJ 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…
Randy Alford, a registered representative formerly with Southeast Investments of Conway, South Carolina 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…
Steven Aguilar, a registered representative formerly with J.P. Morgan Securities of Denver, Colorado 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…
Paul Steffany Barred by FINRA and Connecticut; Arizona investigation Paul Steffany, a former registered representative with Raymond James and Associates of Wilton, CT was permanently barred by FINRA in October, 2015 as a result of a FINRA investigation into Steffany’s role in converting funds belonging to an estate client, and…
Robert Kerrigan, a former registered representative with First Financial Equity Corporation was permanently barred by FINRA for refusing to cooperate with FINRA in their investigation into Kerrigan’s sales of unregistered securities. Among the unregistered securities sold by Robert Kerrigan were shares in USA Barcelona and The Materials Acquisition Company or…
SEC obtains asset freeze on Credit Nation. On December 1, 2015 the Securities and Exchange announced that James Torchia and Credit Nation agreed to the entry of a Consent Order that halted an alleged ongoing investment fraud involving the sale of promissory notes and life settlement contracts. On April 25,…
In February, 2016, a three member FINRA arbitration panel issued a $450,000 binding arbitration award against Unionbanc Investment Services for conduct related to one of their former registered representatives Cynthia Higgins. The underlying matter involved allegations that Higgins made unsuitable investments, over concentrated the accounts’ assets, and failed to disclose…
George Dobbins, a registered representative formerly with Edward Jones in del Rio, TX 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…
Angelos Tsigounis, of Sparta, NJ, a registered representative formerly with Stifel Nicolaus of Roseland, NJ 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…
Sean Portnoy, a Plano, TX registered representative formerly with Nobles and Richards of Dallas, was suspended from FINRA membership for violations of Rule 9552. Portnoy has been involved in the oil and gas business. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if…