On August 25, 2015 the Securities and Exchange announced that James R. Glover, a former registered representative with Signator Investors, Inc. submitted an Offer of Settlement which the SEC accepted. Solely for the purpose of the SEC’s proceedings and without admitting or denying the findings herein, James R. Glover agreed…
On September 8, 2015 the SEC barred Marc Mandel of Boulder, CO who called himself the “Wizard of Wall Street” from selling stocks, and ordered him to pay fines to the Commission. Mandel, CEO of Wall Street Radio Inc. and host of the radio show “Winning on Wall Street” accepted…
On September 9, 2015 the Securities and Exchange announced administrative and cease and desist proceedings against Dawn J. Bennett a former registered representative with Western International Securities in Washington, D.C. The SEC’s complaint alleges that from 2009 through February 2011, Bennett Group Financial and Bennett, made material misstatements and omissions…
On January 6, 2016 the SEC charged Sheik Khan (aka Abida Khan,) a registered representative formerly with Ameritas Investment Corp. out of Murrieta, CA with violations of Section 10 of the Exchange Act and Rule 10(b)(5) and Section 206 of the Advisors Act. The complaint against Sheik Khan arises from…
On January 6, 2016 the SEC charged Larry Werbel, a registered representative formerly with Summit Brokerage Services of Chagrin Falls, OH with violations of Section 10 of the Exchange Act and Rule 10(b)(5) and Section 206 of the Advisors Act. The complaint against Larry Werbel arises from a claim the…
Tatyana Andreyeva, a registered representative formerly with Wetspark Capital, Fordham Financial and John Carris Investments was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that…
Gene Smietana, a registered representative formerly with LPL Financial in Traverse City, MI was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails…
Andreas Kentrotas, a registered representative formerly with Morgan Stanley in Manhasset, NY was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current provides if a member, person associated with a member or person subject to FINRA’s jurisdiction fails to…
On September 30, 2015 the Securities and Exchange announced that Edward Borg submitted an Offer of Settlement. Solely for the purpose of the SEC’s proceedings and without admitting or denying the findings herein, Edward Borg consented to the findings that he periodically manipulated the market for Natural Alternatives International, Inc.’s…
On September 30, 2015 the Securities and Exchange announced that Securus Wealth Management LLC submitted an Offer of Settlement. Solely for the purpose of the SEC’s proceedings and without admitting or denying the findings herein, Securus Wealth Management and James Goodland consented to the findings that from January 2010 through…