James Joseph Beaupre (also known as Jim Beaupre) of Longmont Colorado a stockbroker formerly registered with BancWest Investment Services Inc. is referenced in a customer initiated investment related written complaint which was settled on September 21, 2017 to resolve allegations that the customer had been inappropriately placed in annuity policies issued through Principal, Jackson and…
Tammy Terri Lau of San Francisco California a stockbroker formerly registered with BancWest Investment Services Inc. is the subject of a customer initiated investment related written complaint on June 20, 2016 where the customer requested $55,043.55 in damages based upon allegations that Lau failed to inform the customer about the premium payment terms associated with…
Michael David Zeran, of Marion, Iowa, a stockbroker registered with Bancwest Investment Services, Inc., has been fired on July 12, 2016, supported by allegations that an investigation into Zeran’s business activities revealed that he engaged in short-term trading of mutual funds in customer accounts and mismarked investment transactions as unsolicited, causing the firm to lose…
Corinne Renae Mittag, of Omaha, Nebraska, a stockbroker formerly registered with BancWest Investment Services Inc., has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that she effected an unauthorized transaction in a customer’s account and made false representations to her firm regarding the transaction. Department of Enforcement v….
John S. Hudnall, of San Francisco, California, a stockbroker formerly registered with U.S. Bancorp Investments and Bancwest Investments Services, Inc., was permanently barred by Financial Industry Regulatory Authority (FINRA) Department of Enforcement per an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Hudnall engaged in unauthorized private securities transactions or selling…
John S. Hudnall, of San Francisco, California, a stockbroker with U.S. Bancorp Investments and Bancwest Investments Services, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Hudnall engaged in unauthorized private securities transactions, unsuitable recommendations, and made false representations to FINRA regarding his misconduct. Department of Enforcement…