The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.”
David Arthur Tetley (CRD #1511967, Registered Representative, Fairfield, Connecticut)
was fined $5,000 and suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the findings, Tetley consented to the described sanctions and to the entry of findings that he sold EIA*s to people outside the scope of his employment with his member firm and without providing the firm with prompt written notice of the business activity.
FINRA' findings stated that Tetley’s undisclosed EIA* sales totaled about $1,586,760 and he received approximately $119,000 as compensation for the transactions.
(*Equity-Indexed Annuities (EIAs) are also known as "fixed-indexed insurance products" and "indexed annuities")
The suspension is in effect from January 7, 2013, through May 6, 2013. (FINRA Case #2011026508701)
This ends the information from the FINRA website.
Call Soreide Law Group for a free consultation with an attorney: 888-760-6552.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com