The Securities and Exchange Commission filed a complaint, February 21, 2014, in the U.S. District Court for the Southern District of Ohio, alleging Charles P. O'Brien, from 1998 - 2008, engaged in a fraudulent scheme to misappropriate money from his client--over $298,000. The complaint alleged O'Brien had issued checks in the client's name from the […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.” Brennan R. Lollar (CRD #5287737, Registered Representative, St. Petersburg, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Lollar misappropriated funds from a bank where he worked as a branch […]