FINRA Broker Fined Archives - Securities Lawyer https://www.securitieslawyer.com/category/finra-broker-fined/feed/ Sun, 14 Jun 2026 02:53:45 +0000 en-US hourly 1 https://wordpress.org/?v=7.0 https://www.securitieslawyer.com/wp-content/uploads/2022/05/cropped-soreide-favicon-32x32.jpg FINRA Broker Fined Archives - Securities Lawyer https://www.securitieslawyer.com/category/finra-broker-fined/feed/ 32 32 Clayton Shum Of Grove Point Investments Suspended By FINRA For Unsuitable Advice https://www.securitieslawyer.com/clayton-shum-burlingame-california/ Wed, 24 Jun 2026 19:22:18 +0000 https://www.securitieslawyer.com/?p=30157 FINRA suspended securities broker Clayton Kwok Shum [CRD: 4412927, Burlingame, California], and one or more investors complained about him, given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shum worked for Grove Point Investments LLC from December 1, 2020, to January 12, 2023, and Grove Point Advisors LLC from April 1, 2021, to January […]

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]]> Kyle Lindner Of State Farm VP Management Corp. Fined By FINRA For Private Securities Transactions https://www.securitieslawyer.com/kyle-lindner-katy-texas/ Tue, 26 May 2026 20:07:02 +0000 https://www.securitieslawyer.com/?p=29892 Investors have reportedly disputed the sales practices of securities broker Kyle Lindner [CRD: 5421697, Katy, Texas], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kyle Lindner worked for State Farm VP Management Corp. from January 9, 2008, to November 8, 2024. Investors are encouraged to continue reading to discover more about the […]

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]]> Lester Hochler Of Cape Securities Fined By FINRA For Failure To Supervise GWG L Bond Sales https://www.securitieslawyer.com/lester-hochler-mcdonough-georgia/ Mon, 25 May 2026 20:03:36 +0000 https://www.securitieslawyer.com/?p=29888 FINRA sanctioned securities broker Lester Joel Hochler [CRD: 3209012, McDonough, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hochler worked for Cape Securities Inc. from March 17, 2016, to April 14, 2026, and joined American Global Wealth Management Inc. on December 5, 2019. He was also associated with G.F. […]

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]]> William Morris Of Cape Securities Fined By FINRA For Unsuitable Advice In GWG L Bonds https://www.securitieslawyer.com/bill-morris-green-bay-wisconsin/ Sun, 24 May 2026 19:48:05 +0000 https://www.securitieslawyer.com/?p=29876 Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Cape Securities Inc. from April 21, 2020, to February 25, 2026, and Cape Investment Advisory Inc. from April 6, […]

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]]> Stephen Parks Of Skystone Securities LLC Suspended By FINRA For Unauthorized Activities https://www.securitieslawyer.com/stephen-parks-dallas-texas/ Sun, 24 May 2026 19:45:36 +0000 https://www.securitieslawyer.com/?p=29874 Investors potentially incurred losses because of securities broker Stephen Glover Parks [CRD: 5074732, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stephen Parks worked for Skystone Securities LLC from June 12, 2020, to December 24, 2025. See below to discover more about the disclosures involving Stephen Parks. FINRA Sanctioned Parks For […]

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]]> James Ptacek Of LPL Financial LLC Fined By FINRA For Outside Business Activities https://www.securitieslawyer.com/jim-ptacek-willoughby-hills-ohio/ Sat, 23 May 2026 19:39:31 +0000 https://www.securitieslawyer.com/?p=29868 Investors apparently complained about securities broker James Robert Ptacek Jr. (also known as Jim Ptacek) [CRD: 1959049, Willoughby Hills, Ohio], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ptacek worked for LPL Financial LLC from February 14, 2018, to November 14, 2024. Investors are encouraged to continue reading to learn more about […]

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]]> Frederick Hohensee Of Abacus Investments Inc. Fined By FINRA For Unsuitable Advice https://www.securitieslawyer.com/frederick-hohensee-elkhorn-wisconsin/ Mon, 11 May 2026 18:12:01 +0000 https://www.securitieslawyer.com/?p=29772 Investors potentially incurred losses because of securities broker Frederick Earl Hohensee (also known as Fred Hohensee and Freddy Hohensee) [CRD: 1431948, Elkhorn, Wisconsin], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frederick Hohensee has worked for Abacus Investments Inc. since March 3, 1994, and Hohensee Financial Services Inc. since February […]

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]]> Luis Jean-Bart Of PFS Investments Suspended By FINRA For Failure To Comply With Investigation https://www.securitieslawyer.com/luis-jean-bart-cranbury-new-jersey/ Fri, 10 Apr 2026 18:10:33 +0000 https://www.securitieslawyer.com/?p=29538 FINRA sanctioned securities broker Luis S. Jean-Bart (also known as Luis S. Veanbart) [CRD: 5472965, Cranbury, New Jersey], and investors complained about him, given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Luis Jean-Bart worked for PFS Investments Inc. from September 17, 2009, to February 22, 2024, when the firm terminated […]

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]]> Robert Goff Of Wells Fargo Suspended By FINRA For Unauthorized Trading https://www.securitieslawyer.com/robert-goff-east-lansing-michigan/ Thu, 19 Mar 2026 17:42:55 +0000 https://www.securitieslawyer.com/?p=29311 FINRA suspended securities broker Robert Wylie Goff (also known as Robert Mylie Goff and Rob Goff) [CRD: 4388671, East Lansing, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Goff worked for Wells Fargo Clearing Services LLC from October 18, 2022, to July 17, 2024, in East Lansing, Michigan, and previously for […]

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