Forgery

Archive | Forgery

FINRA Bars RBC Capital Stockbroker In Forgery Investigation

October 08, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on FINRA Bars RBC Capital Stockbroker In Forgery Investigation

Daria Lynn Radonski (also known as Daria Lynn Baumgarten, Daria Thayer and as Daria Murdock) of Billings Montana a stockbroker formerly registered with RBC Capital Markets LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded upon findings that she failed to cooperate with a FINRA investigation […]

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FINRA Sanctions Wynston Hill Capital Stockbroker For Altering Documents

October 08, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Unauthorized Trading   |   Comments Off on FINRA Sanctions Wynston Hill Capital Stockbroker For Altering Documents

Christopher Joseph Nelson of Brandon South Dakota a stockbroker formerly registered with Wynston Hill Capital 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 supported by findings that Nelson falsified the records of Wynston Hill concerning trades in customer accounts. Letter […]

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FINRA Bars MML Stockbroker In Investigation

September 16, 2021  |   Posted by :   |   Alternative Investments, Forgery, Investment and Regulatory News   |   Comments Off on FINRA Bars MML Stockbroker In Investigation

Adam Gerard Belardino of Elmsford New York a stockbroker formerly registered with MML investors Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on a Decision containing findings that Belardino refused to cooperate with a FINRA investigation in regard to customer complaints. Department of Enforcement […]

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LPL Stockbroker Sanctioned By FINRA For Forgery

September 03, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Variable Annuites   |   Comments Off on LPL Stockbroker Sanctioned By FINRA For Forgery

Joffre Salazar (also known as Jeff Salazar) of Staten Island New York a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Salazar forged signatures of customers on documents to effect […]

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FINRA Bars NYLife Stockbroker For Lying During Investigation

August 26, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on FINRA Bars NYLife Stockbroker For Lying During Investigation

Alexis Kinashea Cooke of Lake Success New York a stockbroker formerly registered with NYLife Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Cooke engaged in forgery and the falsification of applications relating to variable annuity products, and she failed to provide […]

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Pruco Securities Stockbroker Charged With Forgery

August 26, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on Pruco Securities Stockbroker Charged With Forgery

Alon Zak of Sherman Oaks California a stockbroker formerly registered with Pruco Securities has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with forging customer signatures and submitting insurance documents to Pruco’s insurance affiliate without customers’ authorization. Department of Enforcement v. Alon Zak Disciplinary Proceeding No. 2020065349803 (Aug. 19, 2021). According to […]

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SagePoint Stockbroker Investigated For Unauthorized Trading

August 26, 2021  |   Posted by :   |   Breach of Fiduciary Duty, Excessive Trading, FINRA Securities Arbitration, Forgery, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on SagePoint Stockbroker Investigated For Unauthorized Trading

David John Melilli of Moorestown New Jersey a stockbroker formerly registered with SagePoint Financial Inc. is the focus of a FINRA investigation on April 1, 2021 in which FINRA has determined that disciplinary action should be taken against Melilli for allegedly making excessive and unsuitable trades and for forging customer signatures. Case No. 20190636810 (Apr. […]

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Edward Jones Stockbroker Barred By FINRA In Investigation

August 15, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Stockbroker Theft   |   Comments Off on Edward Jones Stockbroker Barred By FINRA In Investigation

Casey James Kemerly of Pennington Gap Virginia a stockbroker formerly registered with Edward Jones has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he did not cooperate with FINRA when it investigated his termination from Edward Jones and his criminal charges from August of […]

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Regulator Sanctions BBVA Securities Stockbroker In Theft Investigation

August 15, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Stockbroker Theft   |   Comments Off on Regulator Sanctions BBVA Securities Stockbroker In Theft Investigation

Adrian Torres Ortega of Sun City West Arizona a stockbroker formerly registered with BBVA Securities Inc. is referenced in an Arizona Corporation Commission Securities Division Order For Administrative Penalties and Order of Revocation where his stockbroker registration has been revoked based on Ortega being barred by a securities regulator. In the Matter of Adrian Torres […]

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FINRA Bars PFS Stockbroker In Investigation

July 31, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on FINRA Bars PFS Stockbroker In Investigation

Juan Manuel Ceja of Medford Oregon a stockbroker formerly registered with PFS investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to comply with FINRA’s investigation into his potential falsification of customer signatures. Letter of Acceptance Waiver and Consent No. […]

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FINRA Sanctions LPL Stockbroker For Falsified Customer Documents

July 12, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Variable Annuites   |   Comments Off on FINRA Sanctions LPL Stockbroker For Falsified Customer Documents

Eric Peter Burton of Orland Park Illinois a stockbroker formerly registered with LPL Financial LLC 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 of Burton falsifying customers’ documents relating to variable annuity transactions that he effected. Letter of […]

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FINRA Bars LPL Stockbroker In Investigation

March 18, 2021  |   Posted by :   |   FINRA Securities Arbitration, Forgery, Investment and Regulatory News, Ponzi Schemes, Selling Away and Outside Activities   |   Comments Off on FINRA Bars LPL Stockbroker In Investigation

Rhett Douglas Bedwell of Rogers Arizona a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to comply with the regulator when he was being investigated for using forged documentation to transition a customer’s assets […]

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FINRA Bars Bankers Life Stockbroker In Investigation

March 18, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on FINRA Bars Bankers Life Stockbroker In Investigation

Ryan Owen Tarjanyi of Kettering Ohio a stockbroker formerly registered with Bankers Life Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he did not provide information to FINRA during the period that he was investigated for forgery and for falsifying documents relating […]

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Investors File Arbitration Claim Against First Allied Securities For Misappropriation

March 08, 2021  |   Posted by :   |   Breach of Fiduciary Duty, Elder Financial Abuse, FINRA Securities Arbitration, Forgery, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on Investors File Arbitration Claim Against First Allied Securities For Misappropriation

Shlomo Strugano (also known as Shlomy Strugano and as Solomon Strugano) of Reseda California a stockbroker formerly registered with First Allied Securities Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $750,000.00 in damages supported by accusations of elder abuse and misappropriation. Financial Industry Regulatory Authority (FINRA) […]

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Investors File Arbitration Claim Against LPL Financial

March 08, 2021  |   Posted by :   |   FINRA Securities Arbitration, Forgery, Investment and Regulatory News, Non-traded REITs   |   Comments Off on Investors File Arbitration Claim Against LPL Financial

Kevin Charles Fretz of South Windsor Connecticut a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages founded on accusations of unsuitable real estate investment trust recommendations by Fretz during the time that he was associated with […]

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M Holdings Stockbroker Accused Of Elder Trafficking

February 16, 2021  |   Posted by :   |   Elder Financial Abuse, Forgery, Investment and Regulatory News, Stockbroker Theft, Variable Annuites   |   Comments Off on M Holdings Stockbroker Accused Of Elder Trafficking

Dean Harrison Grant of Milledgeville Georgia a stockbroker formerly registered with M Holdings Securities Inc. is the subject of a customer initiated investment related written complaint on August 12, 2019 where the customer requested compensatory damages founded on accusations that the customer had not been apprised of important investment information from Grant when making an […]

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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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