The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Marcela Zamora Erana (CRD #4450935, Registered Principal, Key Biscayne, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any FINRA member in any capacity for one month.   Without admitting […]

Bruce Kelly writes in a February 9th., 2012 article for InvestmentNews.com that securities regulators are taking a close and careful look at a fast-growing alternative investment known as a nontraded business development company. The InvestmentNews.com article states that the North American Securities Administrators Association is “gearing up to draft a statement of policy” on nontraded […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Jan D. Narrine (CRD #5738183, Associated Person, Winter Garden, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.   Without admitting or denying the findings, Narrine consented […]

In an InvestmentNews.com article from January 29th., 2012, Liz Skinner and Dan Jamieson write that Merrill Lynch Pierce Fenner & Smith agreed to pay $1 million to settle allegations that it circumvented Finra rules that require firms to arbitrate disputes with employees, rather than bring them to court. FINRA, the Financial Industry Regulatory Authority Inc. […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Dennis Flanagan Jr. (CRD #4199469, Registered Principal, Miami, Florida)   submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately […]

In an article for InvestmentNews.com, on February 1st, 2012, Mark Schoeff Jr. writes that in a market defined by low interest rates, investors are searching for higher returns. But brokers better be careful how they try to deliver those results, according to their primary regulator. In a 16 page letter posted on its website, the Financial Industry […]

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 […]

In a February 4th., 2012, article by Andew Osterland in InvestmentNews.com, he writes that it's not an easy conversation to have, but financial advisers need to talk to their clients about Alzheimer's disease and other forms of dementia and the impact it can have on their financial circumstances. “The first conversation is difficult, but after […]

The following information was obtained on FINRA's website's "January, 2012, Disciplinary Actions:"   Jason Christopher Dayton aka Jason Krupar (CRD #4504624, Registered Principal, Oviedo, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 20 business days. The […]