Daryl Richard Lemon (CRD #2473133, Los Angeles, California) was barred by FINRA for allegedly executing 1,236 transactions in an elderly client’s discount brokerage account maintained at another broker-dealer without providing prior written notice, or any notice at all, to his member firm. FINRA's findings stated that Lemon periodically charged the customer amounts that he characterized […]

The following information was obtained on FINRA's website's 'Disciplinary Actions, January 2012."   Bradley John Delp (CRD #1701698, Registered Representative, Deerfield Beach, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two months. The fine must […]