Randall A. Samson (CRD #2691518, Manteca, California) was barred by FINRA for allegedly converting $10,000 from the 401(k) account of an employee, who was also a client, of his member firm. FINRA's findings stated that Samson, without the individual’s knowledge or consent, used his position as the plan’s trustee to complete a $10,000 distribution from […]

(FINRA publishes a quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. This sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and SEC decisions in FINRA cases). These summaries call attention to, and remind registered representatives and member firms of, specific […]