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Articles Tagged with barred

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 April 2020 report can be viewed here.   In the most […]

Piero DiLorenzo (CRD#: 4670150), a former broker with NYLIFE Securities LLC (CRD#: 5167) in Melville, New York,  has been barred by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 12, 2020.  How did this bar come about? Piero DiLorenzo’s troubles began on June 18, 2019, when NYLIFE Securities LLC […]

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 […]

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