Forgery

Archive | Forgery

Investors File FINRA Arbitration Claim Against Chelsea Financial

January 03, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Promissory Notes   |   Comments Off on Investors File FINRA Arbitration Claim Against Chelsea Financial

George Marshall Warner of Staten Island New York a stockbroker formerly registered with Chelsea Financial Services is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.00 in damages founded on allegations that promissory notes were sold by Warner away from the securities broker dealer. Financial Industry Regulatory […]

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Investors Accuse Pruco Securities Stockbroker Of Forgery

December 22, 2020  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on Investors Accuse Pruco Securities Stockbroker Of Forgery

James Vincent Prosperi of Pittsford New York a stockbroker currently registered with Pruco Securities is referenced in a customer initiated investment related written complaint on September 29, 2020 in which the customer requested unspecified compensatory damages supported by accusations that the customer’s signature had been forged on documents to effect insurance transactions during the time […]

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New England Securities Accused Of Annuity Fraud

December 22, 2020  |   Posted by :   |   Forgery, Investment and Regulatory News, Variable Annuites   |   Comments Off on New England Securities Accused Of Annuity Fraud

Charles Jonathan Evan of Wellesley Massachusetts a stockbroker formerly registered with New England Securities and MML Investors Services is the subject of a customer initiated investment related written complaint on September 4, 2020 in which the customer requested unspecified damages supported by allegations that the customer had been provided with misrepresented information in regards to […]

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FINRA Sanctions NYLife Stockbroker For Forgery

December 07, 2020  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on FINRA Sanctions NYLife Stockbroker For Forgery

Thomas James Barone of New Orleans Louisiana a stockbroker formerly registered with NYLife Securities LLC has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Barone forged customers’ signatures on life insurance policy documents. Letter of Acceptance Waiver and […]

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Cetera Investment Services Stockbroker Accused Of Forgery

December 07, 2020  |   Posted by :   |   Elder Financial Abuse, Forgery, Investment and Regulatory News   |   Comments Off on Cetera Investment Services Stockbroker Accused Of Forgery

Clara Chen Tang (also known as Qing Chen) of Cupertino California a stockbroker formerly registered with Cetera Investment Services LLC is the subject of a customer initiated investment related written complaint on March 20, 2019 in which the customer requested unspecified compensatory damages supported by accusations that the customer’s signature had been forged on documents […]

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Bankers Life Stockbroker Investigated By FINRA For Forgery

November 04, 2020  |   Posted by :   |   Forgery, Securities Arbitration Claims   |   Comments Off on Bankers Life Stockbroker Investigated By FINRA For Forgery

Ryan Owen Tarjanyi of Greensburg Pennsylvania a stockbroker formerly employed by Bankers Life Securities is under investigation according to Financial Industry Regulatory Authority (FINRA). Case No. 20190619433 (Sept. 24, 2020). FINRA Public Disclosure reveals that Department of Enforcement might proceed with a disciplinary action against Tarjanyi supported by accusations of the stockbroker violating FINRA rules. […]

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AXA Stockbroker Barred By FINRA In Forgery Investigation

November 04, 2020  |   Posted by :   |   Forgery, Securities Arbitration Claims   |   Comments Off on AXA Stockbroker Barred By FINRA In Forgery Investigation

Jenna Kang (also known as Jihye Kang) of Los Angeles California a stockbroker formerly employed by AXA Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she neglected to provide documents and information to the regulator while under investigation for falsifying customer […]

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LPL Stockbroker Barred In Investigation Over Altering Customer Statements

November 04, 2020  |   Posted by :   |   Forgery, Securities Arbitration Claims   |   Comments Off on LPL Stockbroker Barred In Investigation Over Altering Customer Statements

James Kenneth Couture of Worcester Massachusetts a stockbroker formerly registered with LPL Financial has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Couture failed to cooperate with FINRA investigators. Letter of Acceptance Waiver and Consent No. 2020067011901 (Oct. 21, 2020). According to the AWC, […]

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Pruco Stockbroker Barred In Forgery Investigation

October 08, 2020  |   Posted by :   |   Forgery, Securities Arbitration Claims   |   Comments Off on Pruco Stockbroker Barred In Forgery Investigation

Neil James Buono of Woodstock Georgia a stockbroker formerly registered with Pruco Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Buono refused to cooperate with FINRA staff who was investigating allegations of his forgery and violations of FINRA rules. Letter of […]

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FINRA Sanctions Cape May Stockbroker For Altering Documents

September 14, 2020  |   Posted by :   |   Forgery   |   Comments Off on FINRA Sanctions Cape May Stockbroker For Altering Documents

Christopher Thomas Hildebrandt of Cape May Court House New Jersey a stockbroker formerly employed by Principal Securities has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Hildebrandt altered documents to effect distributions and other transactions in customer accounts. Letter of Acceptance […]

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Thrivent Stockbroker Sanctioned For Alterting Customer Documents

September 14, 2020  |   Posted by :   |   Forgery   |   Comments Off on Thrivent Stockbroker Sanctioned For Alterting Customer Documents

Luke Charles Nelson of Fosston Minnesota a stockbroker formerly registered with Thrivent Investment Management Inc. has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Nelson had altered customer account documentation. Letter of Acceptance Waiver and Consent No. 2019061507001 […]

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Wells Fargo Terminates Stockbroker For Cause

August 27, 2020  |   Posted by :   |   Forgery   |   Comments Off on Wells Fargo Terminates Stockbroker For Cause

Jonathan Richard Lake (also known as Jon Lake) of Stamford Connecticut a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been discharged on December 2, 2019 based upon accusations that the stockbroker procured funds from a customer in violation of company policy. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Lake has […]

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NYLife Accused By Investors Of Forging Checks

August 27, 2020  |   Posted by :   |   Customer Loans, Forgery, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on NYLife Accused By Investors Of Forging Checks

Ronald James Knight (also known as Ramone Knight) of Timonium Maryland a stockbroker formerly registered with NYLife Securities is referenced in a customer initiated investment related written complaint which was resolved for $128,351.26 on April 10, 2018 based upon allegations of the stockbroker having failed to repay a NYLife Securities LLC customer after borrowing funds […]

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Kestra Stockbroker Barred In Forgery Investigation

August 27, 2020  |   Posted by :   |   Forgery   |   Comments Off on Kestra Stockbroker Barred In Forgery Investigation

Charles Matthew Wernig III (also known as Chip Wernig) a stockbroker formerly registered with Kestra Investment Services LLC has been barred on August 5, 2019 from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Wernig neglected to provide a response to FINRA after a request for his […]

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Wells Fargo Stockbroker Sanctioned For Altering Documents

July 29, 2020  |   Posted by :   |   Forgery   |   Comments Off on Wells Fargo Stockbroker Sanctioned For Altering Documents

Robert Patton Stansberry (also known as Patt Stansberry) of Columbia Montana a stockbroker and financial advisor formerly registered with Wells Fargo Advisors Financial Network LLC and Cutter Company Inc. has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that […]

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FINRA Bars JP Morgan Stockbroker In Investigation

July 20, 2020  |   Posted by :   |   Forgery   |   Comments Off on FINRA Bars JP Morgan Stockbroker In Investigation

Adrienne Jaime Mak of Hacienda Heights California a stockbroker formerly employed by JP Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on a FINRA Office of Hearing Officers Order Accepting Offer of Settlement based on findings that Mak failed to cooperate with FINRA’s […]

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Merrill Lynch Stockbroker Sanctioned For Altering Documents

July 20, 2020  |   Posted by :   |   Forgery   |   Comments Off on Merrill Lynch Stockbroker Sanctioned For Altering Documents

Cynthia Ann Perry of Salisbury Maryland a stockbroker formerly associated with Merrill Lynch has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she altered signed Merrill Lynch customer documents to create accounts and effect transactions. Letter of Acceptance […]

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FINRA Bars JP Morgan Stockbroker In Forgery Investigation

July 11, 2020  |   Posted by :   |   Forgery   |   Comments Off on FINRA Bars JP Morgan Stockbroker In Forgery Investigation

Timothy A. Crowley of Chicago Illinois a stockbroker formerly registered with JP Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to provide FINRA with information that had been requested of him. Case No. 2018059605401 (Apr. 16, 2020). FINRA […]

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LPL Discharges Stockbroker For Altering Customer Account Forms

July 11, 2020  |   Posted by :   |   Forgery   |   Comments Off on LPL Discharges Stockbroker For Altering Customer Account Forms

James Michael Adgar of Alameda California a stockbroker formerly associated with LPL Financial LLC has been discharged by the firm on August 28, 2019 supported by allegations that Adgar neglected to abide by the policies of the securities broker dealer as it pertained to the insertion of customer signatures on incomplete documentation to effect transactions. […]

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Investors Claim Tavenner Liable For Unsuitable Recommendations

June 24, 2020  |   Posted by :   |   Forgery, Securities Arbitration Claims, Selling Away and Outside Activities, Unsuitable Investment Recommendations   |   Comments Off on Investors Claim Tavenner Liable For Unsuitable Recommendations

Dean Elmo Mings of Springfield Ohio a stockbroker formerly registered with Tavenner Company is the subject of a customer initiated investment related arbitration claim where the customer sought $600,000.00 in damages based upon accusations that unsuitable annuities and stocks were recommended to the customer by Mings. Financial Industry Regulatory Authority (FINRA) Arbitration No. 19-02807 (Sept. […]

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American Portfolios Fires Stockbroker For Altering Documents

June 23, 2020  |   Posted by :   |   Forgery   |   Comments Off on American Portfolios Fires Stockbroker For Altering Documents

Joffre Salazar (also known as Jeff Salazar) a stockbroker formerly employed by American Portfolios Financial Services Inc. has been discharged from employment on September 27, 2019 founded on accusations of customer documentation being impermissibly altered by Salazar. Salazar has been identified in two customer initiated investment related disputes pertaining to allegations of his misconduct. Financial […]

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FINRA Bars JP Morgan Stockbroker For Conversion

June 22, 2020  |   Posted by :   |   Forgery, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on FINRA Bars JP Morgan Stockbroker For Conversion

David Harry-Nelson Austin of Grand Rapids Michigan a stockbroker formerly registered with JP Morgan Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted funds belonging to three customers of JP Morgan. Letter of Acceptance Waiver and Consent No. 2020066576401 […]

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J.P. Morgan Stockbroker Barred In Forgery Investgation

June 08, 2020  |   Posted by :   |   Forgery   |   Comments Off on J.P. Morgan Stockbroker Barred In Forgery Investgation

Adrienne Jaime Mak of Hacienda Heights California a stockbroker formerly registered with J.P. Morgan Securities LLC has been charged in a Complaint by Financial Industry Regulatory Authority (FINRA) Department of Enforcement who alleges that Mak failed to cooperate with FINRA’s information and documentation requests during the time that she was under investigation for allegedly violating […]

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UBS Financial Sued By Investors For Currency Unit Misconduct

June 03, 2020  |   Posted by :   |   Forgery, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on UBS Financial Sued By Investors For Currency Unit Misconduct

Paul David Campbell of New York New York a stockbroker currently registered with UBS Financial Services is the subject of a customer initiated investment related arbitration claim in which the customer requested $386,965.40 in damages based upon allegations that the customer had been placed into unsuitable double currency units (DOCUs). Financial Industry Regulatory Authority (FINRA) […]

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Investors Accuse Cetera Unsuitable REIT Recommendations

April 18, 2020  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on Investors Accuse Cetera Unsuitable REIT Recommendations

Xiangyu Yu Zhang (also known as Sean Zhang) of Alhambra California a stockbroker formerly registered with Cetera Investment Services is the subject of a customer initiated investment related complaint which was settled on December 2, 2019 for $4,479.01 in damages based upon allegations that misrepresentations were made to the customer concerning real estate investment trusts […]

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Morgan Stanley Stockbroker Sanctioned For Falsifying Documents

April 18, 2020  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on Morgan Stanley Stockbroker Sanctioned For Falsifying Documents

Clare Marie Cail (also known as Clare Marie McGovern) of Manchester New Hampshire a stockbroker formerly registered with Morgan Stanley has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she altered customer account documentation. Letter of Acceptance Waiver […]

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FINRA Bars US Brokerage Stockbroker In Forgery Investigation

April 18, 2020  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on FINRA Bars US Brokerage Stockbroker In Forgery Investigation

Timothy Brent Hetrick of Boise Idaho a stockbroker formerly registered with US Brokerage Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that the stockbroker failed to cooperate with FINRA personnel during the period that he was under investigation for forging customers’ […]

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Edward Jones Stockbroker Sanctioned For Forgery

April 08, 2020  |   Posted by :   |   Forgery   |   Comments Off on Edward Jones Stockbroker Sanctioned For Forgery

Jennifer Lillian Basey (also known as Jennifer Lillian Hilliard) of Fort Myers Florida a stockbroker formerly registered with Edward Jones has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she forged customers’ signatures to effect fund […]

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NYLife Stockbroker Sanctioned For Forgery

April 08, 2020  |   Posted by :   |   Forgery   |   Comments Off on NYLife Stockbroker Sanctioned For Forgery

William James Hite of Stratford Connecticut a stockbroker formerly registered with NYLife Securities has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged a customer’s signature to effect an annuity exchange. Letter of Acceptance Waiver […]

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FINRA Bars Morgan Stanley Stockbroker In Investigation

April 08, 2020  |   Posted by :   |   Forgery   |   Comments Off on FINRA Bars Morgan Stanley Stockbroker In Investigation

Ashley K. Martin (also known as Ashley Heather Krueger) of Leawood Kansas a stockbroker formerly registered with Morgan Stanley has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she neglected to furnish documents and information to the regulator when she was under […]

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