Ricky Eugene Bell (CRD #2065556, Fayetteville, North Carolina)
was barred by FINRA and ordered to pay a total of $19,650, plus interest, in restitution to clients. Allegedly, Bell engaged in private securities transactions through a lending program without providing notice to, or receiving approval from, his member firm.
FINRA's findings stated that Bell solicited and received personal loans totaling $19,650 from his clients without requesting or receiving his firm’s approval to solicit or receive the loans.
Bell's firm notified him of its policies and procedures against borrowing from customers.
Also, FINRA's findings stated that Bell failed to respond to FINRA requests for information and documents and to provide on-the-record testimony.
(FINRA Case #2013039439301)
Ricky Eugene Bell was previously registered with the following securities firm(s):
06/2012 - 12/2013 CAPE FEAR SECURITIES, INC. (CRD# 156359) - FAYETTEVILLE, NC
08/2005 - 05/2012 MORGAN KEEGAN & COMPANY, INC. (CRD# 4161) - WILMINGTON, NC
02/2001 - 08/2005 MORGAN STANLEY DW INC. (CRD# 7556) - PURCHASE, NY
06/1995 - 03/2001 SALOMON SMITH BARNEY INC. (CRD# 7059) - NEW YORK, NY
10/1993 - 06/1995 INTERSTATE/JOHNSON LANE CORPORATION (CRD# 431) - CHARLOTTE, NC
The previous summation of information found on FINRA’s website under "Disciplinary and Other FINRA Actions, December 2014," ends here.
Call the Soreide Law Group for a free consultation with an attorney at: 888-760-6552. We represent our clients nationwide before FINRA.
ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]
Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]
Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]