Ethan Christopher Martin, of Austin, Texas, a stockbroker associated with Charles Schwab Co. Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Martin converted or stole or misappropriated funds from a brokerage account belonging to an older married couple. Letter of Acceptance, Waiver, and Consent…
Charles Schwab Co. Inc., a securities broker dealer headquartered in Westlake, Texas, has been censured and fined $350,000.00 by Financial Industry Regulatory Authority (FINRA) because it omitted important information concerning customers’ purchases of exchange traded notes. Letter of Acceptance, Waiver, and Consent No. 2020068047101 (June 8, 2023). According to the AWC, between January of 2016…
Andrew Manual Garcia of Indianapolis Indiana a stockbroker formerly registered with Charles Schwab Co. Inc. has been charged by Financial industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Garcia converted a customer’s funds. Department of Enforcement v. Andrew Manual Garcia, Disciplinary Action No. 2017054899801 (Feb. 4, 2019). According to the Complaint,…
John Francis Wilson of Hingham Massachusetts a stockbroker formerly registered with Charles Schwab Co. Inc. has been permanently barred in all capacities by the Securities Division of the Commonwealth of Massachusetts based upon Wilson’s consent to findings that he forged a customer’s signature on an annuity application in violation of Sections 101 and 204(a)(2)(G) of…