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Articles Tagged with barred

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 […]

Kari Bracy (CRD#: 5656186), a former registered representative with NYLife Securities in Jacksonville Beach, Florida, has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) after she refused to provide requested information to FINRA as they were investigating her for selling Future Income Payments, according to her BrokerCheck record accessed on […]

Dean Grant (CRD# 1945209), a former registered representative with M Holdings Securities, Inc. (CRD#: 43285) in Milledgeville, Georgia, has been barred from the securities industry, according to his BrokerCheck record accessed on January 22, 2020. This comes in the wake of charges that he committed insurance fraud, alleging bilking $1.3 million from investors. On January […]

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 […]

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 September 2019 report can be viewed here. In the most serious […]

August 2019 Disciplinary Actions 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 August 2019 report can be viewed here. […]

Bobby Coburn (CRD#: 1464789), formerly a registered representative with Securities America, Inc., has been barred from the securities industry, according to his BrokerCheck report accessed on September 17, 2019. Bobby Coburn entered into an Acceptance, Waiver, and Consent (AWC) in which he consented to the findings that he “refused to provide FINRA with requested information […]

FINRA, the Financial Industry Regulatory Authority (FINRA), has barred Jack Stone (CRD#: 437327), formerly a registered representative with Forest Securities, from the securities industry. According to his BrokerCheck record accessed on September 17, 2019, he entered into an Acceptance, Waiver, and Consent (AWC) consenting to the entry of findings that he “he refused to appear […]

FINRA, the Financial Industry Regulatory Authority, has barred Paul Pitsironis (CRD#: 2804907), from the securities industry for allegedly stealing from a customer, according to his BrokerCheck report accessed on September 12, 2019. All three of the disclosures on Paul Pitsironis’s BrokerCheck record stem from the allegation that he stole $411,000 from a client’s account while […]

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