The following summation was obtained on the FINRA website. This information can be found under, "Disciplinary and Other FINRA Actions, January, 2014." Jose Jesus Martinez Jr. (CRD #5590432, Registered Representative, Glendale, Arizona) Martinez has been barred by FINRA. Allegedly when an elderly customer left his bank card on Marinez's desk, he kept the card and […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Kenneth Andrew Mauchin (CRD #2366345, Registered Principal, Sanford, Florida) was named a respondent in a FINRA complaint alleging that he misappropriated $23,750 from elderly customers’ accounts by converting their funds to cashier’s checks and depositing those checks into a bank […]