FREDERICK EUGENE MONROE JR (FRED MONROE JR, FREDERICK EUGENE JR MONROE) CRD#: 2457010 According to the SEC documents, from February 2006 through June of 2015, Fred Monroe was a registered representative associated with Voya Financial Advisors, Inc. Fred Monroe, 61 years old, was a resident of Queensbury, New York and is presently incarcerated. On December […]

Radcliffe Robert Daly (CRD #4663605, Granger, Indiana) was assessed a deferred fine of $15,000 and suspended by FINRA for nine months for allegedly mismarking order tickets for solicited transactions as "unsolicited." FINRA's findings stated that Daly recommended a penny stock to many clients and continued to solicit purchases of the stock and marked the trades […]

Thomas Neil Charbonneau (CRD #44868, Arden Hills, Minnesota) was barred by FINRA for allegedly selling nearly 1.7 million shares of a speculative penny stock from his own accounts which generated $400,000. According to FINRA, Charbonneau solicited the purchase of the speculative penny stock to his clients without disclosing that he was selling the stock from […]

The Securities and Exchange Commission (SEC) announced that the trading of nine penny stocks has been suspended. This is part of an ongoing enforcement to combat microcap fraud. The companies involved in the trading suspension announced on September 25th. were identified during an SEC analysis of heavily promoted microcap issuers. These are the companies suspended […]

On June 5, 2013, the Securities and Exchange Commission (SEC) charged that Laidlaw Energy Group was targeted in an SEC trading suspension involving questionable penny stocks, and also charged the CEO, Michael B. Bartoszek, who allegedly profited from selling his shares while investors were unaware of the company's financial struggles. According to Reuters, Laidlaw Energy […]