FINRA Investigates PRATUL AGNIHOTRI
FINRA Investigates Broker Pratul Agnihotri For Conversion The Financial Industry Regulatory Authority (“FINRA”) announced that it is investigating securities [...]
Florida Broker Accused of Using Client Funds for His Own Personal Use
GIOVANNI L. ACEVEDO (CRD# 2508321), Wilton Manors, FL, allegedly took more than $160,000 in client funds for his own personal [...]
Former Merrill Lynch Broker Accused in Over $3 Million Misappropriation of Clients Funds
RODERICK (Rod) YZAGUIRRE (CRD# 2484360) of Ontario, California, formerly with Merrill Lynch, according to FINRA's BrokerCheck, had 10 Customer Disputes [...]
Former Alabama Financial Advisor Arrested and Charged with Converting $2.5 Million in Clients’ Funds for His Own Personal Use
KEITH M. ROGERS (CRD# 4987615), 41, of Huntsville, Alabama, was arrested and charged with 10 counts by the Alabama Securities [...]
Former Merrill Lynch and Wells Fargo Advisor Virginia Broker Barred by FINRA for Alleged Conversion of $107,378 of Clients’ Funds
Tammy Charlene Petersen (CRD #4161501, Carrollton, Virginia) aka TAMMY CHARLENE BARBER, TAMMY CHARLENE BARBER, TAMMY CHARLENE BROUSSARD, TAMMY CHARLENE BROUSSARD, [...]
Former Huntington Bank Broker of Columbus Ohio Barred by FINRA for Misappropriation of Client Funds
BRYAN A. CARNAHAN (CRD# 3103811), a former broker with Huntington Bank in Hilliard, Ohio, was barred by FINRA early in [...]
Former Morgan Stanley Broker from Beaumont Texas, Barred by FINRA
Patrick James Manriquez (CRD #4073542, Beaumont, Texas) was barred by FINRA for allegedly converting $20,000 from his member firm’s client [...]
Massachusetts Broker Barred by FINRA for Allegedly Converting Clients’ Funds for Her Own Personal Use
Nilda Lee Vasey (CRD #4842504, Dorchester, Massachusetts was barred by FINRA for allegedly converting client funds for her own personal [...]
Former Broker of Liberty Partners Financial, Bakersfield, CA, Barred by FINRA for Misappropriation of Client’s Funds
RONALD P. RAFALOFF (CRD# 1045883) former broker from Bakersfield, California, was barred by FINRA for allegedly using the investment of [...]
Alabama Broker Pleads Guilty to $3.1 Million Ponzi Scheme
BRYAN W. ANDERSON (CRD# 3116269), 40 year old broker, from Hoover, Alabama, pled guilty to a Ponzi scheme which dozens [...]
Texas Broker Barred by FINRA for Misusing Client Funds
William Charlton Mays (CRD #2693626, Corpus Christi, Texas) was barred by FINRA and ordered to pay $10,000, plus interest, in [...]
Florida Broker Barred by FINRA for Conversion of Client’s Funds
The Florida-based Soreide Law Group obtained this summation of information from FINRA's Website under "Disciplinary and Other Actions, January, 2015." [...]
Former Chicago Broker Barred by FINRA for Alleged Misappropriation of Over $1Million of Clients’ Funds
Eric William Johnson (CRD #2142522, Hinsdale, New York) was barred by FINRA for the alleged misappropriation of more than $1 [...]
Idaho Broker Pleads Guilty in Misappropriation of Over $800,000
JOANN JACKSON (CRD# 2246952) a 63 year-old investment advisor from Coeur d'Alene, Idaho, pled guilty to wire fraud last week [...]
Former Wells Fargo Advisors Orlando Broker Barred by FINRA for Unauthorized Trades in Client’s Account
The Fort Lauderdale-based, Soreide Law Group, obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA [...]
Vero Beach Florida Broker Barred by FINRA for Misappropriation of Client’s Funds
The Soreide Law Group, based in Fort Lauderdale (888) 760-6552, obtained the following summary of information from FINRA’s website, under [...]
Former South Carolina Raymond James Broker Barred by FINRA for Converting over $3 Million in Client Funds
CLAUS C. FOERSTER (CRD# 1912949) was barred by FINRA for allegedly soliciting his clients to invest in a fictitious entity [...]
Former Sacramento, California, Ameriprise Financial Advisor Sentenced to Prison for Client Theft of nearly $650,000
On July 31, 2014, former Ameriprise Financial Services financial advisor, Michelle Lee Kern, 36, of Sacramento, CA, was sentenced to [...]
David Johnson, Former JP Turner, TX, and Capital Financial Services, Iowa, Broker Held on Four Felony Theft Charges in Iowa
DAVID W. JOHNSON (CRD# 1010443), a 55 year-old former JP Turner broker from Keller, Texas, is facing felony theft charges [...]
Pennsylvania Broker Barred by FINRA for Misappropriation of Clients’ Funds
Christopher Somes Babcock (CRD #5004907, Wayne, Pennsylvania) was barred by FINRA for allegedly receiving approx. $160,000 from his customers after [...]