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Articles Tagged with barred brokers

Dan Vazquez (CRD#: 3141463), a former registered representative who has been barred by FINRA, is the subject of a final judgment by the Securities and Exchange Commission (SEC) according to his BrokerCheck record accessed on March 23, 2020. He has pled guilty to fraud in connection with real estate investments.  On January 12, 2018, the […]

Christopher Laws (CRD#: 4479529), a former broker with BCG Securities, Inc. (CRD#: 70) in Roswell, Georgia, has been permanently barred from the securities industry by the Securities and Exchange Commission (SEC), according to his BrokerCheck record accessed on March 4, 2020. On July 31, 2017, the SEC rendered a judgment against Christopher Laws, mandating that […]

Randy Carpen (CRD#: 2469877), a former registered representative with Vestech Securities, Inc. (CRD#: 41409), has been permanently barred from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on February 20, 2020. What happened to lead to Randy Carpen’s bar from the securities industry? When FINRA requested documents […]

Tony Puente (CRD#: 2695224), a former registered representative with Valic Financial Advisors, Inc. (CRD#: 42803), has been barred from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on February 20, 2020. What happened to lead to Tony Puente’s permanent bar from the securities industry? As part of […]

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full December 2019 report can be viewed here. In the most serious […]

FINRA Disciplinary Actions November 2019 When brokers violate FINRA rules or federal securities regulations—by borrowing money from customers, forging documents, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full November 2019 report can be viewed […]

Lance Armstrong (CRD#: 4592423), formerly a registered representative with Raymond James Financial Services in Columbia, New Jersey, has been barred from the securities industry, according to his BrokerCheck record accessed on December 18, 2019. On November 12, 2019, Lance Armstrong consenting to the finding that he refused to private on-the-record testimony as requested by FINRA, […]

Jefferey Dyra (CRD#: 6785909), formerly a registered representative with Bankers Life Securities, Inc. (CRD#: 173962) in Naperville, Illinois, has been barred from the securities industry, according to his BrokerCheck record accessed on December 19, 2019. What happened? On November 29, 2019, Dyra consented to the entry of findings that he refused to provide requested documents […]

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full October 2019 report can be viewed here. In the most serious […]

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