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, […]
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Tag Archives: Charles Schwab Co. Inc.
FINRA Charges Charles Schwab Broker With Stealing
February 20, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
Charles Schwab Broker Barred By Regulator For Forgery
May 31, 2018 | Posted by : Guiliano Law Group | Forgery, Investment and Regulatory News | 0 Comments
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 […]
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