The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Richard Alan Seligson (CRD #3169733, Registered Representative, Boca Raton, Florida) was fined $10,000, suspended from association with any FINRA member in any capacity for one year and ordered to pay $41,100, plus interest, in restitution to customers. This fine and […]

Thomas Eugene Hendricks (CRD #2622427, Registered Representative, Salem, Ohio) was barred from association with any FINRA member in any capacity. Without admitting or denying thefindings, Hendricks consented to the described sanction and to the entry of findings that he borrowed $3,000 from a customer/personal friend to be repaid by a certain date, but failed to […]

Alison Marie Janke (CRD #4409155, Registered Representative, Port Richey, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Janke consented to the described sanctions. According to FINRA's findings, she borrowed $100,000 from a customer which was based upon a personal […]