KEITH M. ROGERS (CRD# 4987615), 41, of Huntsville, Alabama, was arrested and charged with 10 counts by the Alabama Securities Commission with stock fraud. Allegedly, according to the Alabama Securities Commission, Rogers used approximately $2.5 million dollars of investors' funds to pay his own personal expenses, and used as 'Ponzi-scheme' payments to his earlier investors. […]

Tammy Charlene Petersen (CRD #4161501, Carrollton, Virginia) aka TAMMY CHARLENE BARBER, TAMMY CHARLENE BARBER, TAMMY CHARLENE BROUSSARD, TAMMY CHARLENE BROUSSARD, or TAMMY PETERSEN was barred by FINRA for allegedly converting approximately $107,378 from her member firm clients for her own personal use and benefit without the clients’ knowledge or consent. FINRA's findings stated that Petersen […]

BRYAN A. CARNAHAN (CRD# 3103811), a former broker with Huntington Bank in Hilliard, Ohio, was barred by FINRA early in May for allegedly stealing approximately $170,000 from a client's brokerage account to cover his other clients' investment losses. FINRA reported that Carnahan had his client withdraw funds from her bank account and get cashier's checks […]

Patrick James Manriquez (CRD #4073542, Beaumont, Texas) was barred by FINRA for allegedly converting $20,000 from his member firm’s client for his own personal use. FINRA's findings stated that Manriquez did this by submitting outgoing wire transfer requests, which the client had not authorized, causing the firm to wire the funds from an account the […]

Nilda Lee Vasey (CRD #4842504, Dorchester, Massachusetts was barred by FINRA for allegedly converting client funds for her own personal use and benefit. FINRA's findings stated that Vasey gained access to the clients funds by requesting, and against her member firm’s policy, that her clients make their annual firm financial planning fee checks, or wire […]

RONALD P. RAFALOFF (CRD# 1045883) former broker from Bakersfield, California, was barred by FINRA for allegedly using the investment of a 74 year-old woman from Red Bank for his own personal use, guaranteed the client against losses, and making false statements to his employer. According to FINRA, the client made a $405,000 investment with Rafaloff, […]

BRYAN W. ANDERSON (CRD# 3116269), 40 year old broker, from Hoover, Alabama, pled guilty to a Ponzi scheme which dozens of investors lost a total of $3.1 million. Anderson, acting as their broker, promised his clients that the investments were 100 percent risk free. Anderson pled guilty to wire fraud, money laundering, and securities fraud […]

William Charlton Mays (CRD #2693626, Corpus Christi, Texas) was barred by FINRA and ordered to pay $10,000, plus interest, in restitution to a client for allegedly converting and misusing a client’s funds for his own benefit. FINRA's findings stated that Mays received a $50,000 check after soliciting the cleint to invest in stocks and commodities. […]

The Florida-based Soreide Law Group obtained this summation of information from FINRA's Website under "Disciplinary and Other Actions, January, 2015." Jamie David Pope (CRD #4172805, Winter Park, Florida) was barred from association by FINRA for allegedly converting funds from a client of his member firm which were provided to him for the express purposes of […]