On January 5, 2018, FINRA barred LARRY MARTIN BOGGS (LARRY M. BOGGS) CRD#: 1582741) for alleged excessive and unsuitable trading in the accounts of five elderly clients. FINRA stated that Boggs also allegedly exercised improper discretion in the elderly clients’ accounts without written authorization in 2014 and 2015 when employed as a broker at Ameriprise […]

Robert John Head (CRD #240935, Omaha, Nebraska) was barred by FINRA for allegedly exercising discretion in the account of an elderly client diagnosed with dementia without obtaining the customer’s prior written consent to do so. Robert Head was in the securities industry for 45 years. FINRA's findings stated that Head recommended transactions that were qualitatively […]