John William Cutshall of Woodsboro Maryland a stockbroker formerly registered with RBC Capital Markets and Lombard Securities has been fined $100,000.00 and barred from being a stockbroker or investment adviser representative based upon accusations that Cutshall violated securities laws or regulations of the State of Maryland as withdrawals were effected from customers’ accounts by the…
John William Cutshall of Frederick Maryland a stockbroker formerly employed by Morgan Stanley has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Cutshall (1) converted a customer’s funds (2) improperly utilized customer funds (3) failed to abide by standards of commercial honor and principles of trade and (4) made misrepresentations…
John William Cutshall of Baltimore Maryland a stockbroker currently registered with Lombard Securities Incorporated is subject of a Financial Industry Regulatory Authority (FINRA) Investigation in which FINRA recommended that a disciplinary action be brought against Cutshall for (1) converting a customer’s funds (2) failing to make required disclosures to Cutshall’s employing firms in reference to…