Victor Alan Lessinger, a former stockbroker associated with Colorado Financial Services Corporation based in Boca Raton, Florida, was sanctioned by Financial Industry Regulatory Authority (FINRA) for willfully violating Exchange Act Rule 15l-1(a)(1) by recommending high-risk closed-end funds to a retail customer whose investment profile indicated moderate risk tolerance and an income-oriented objective. Letter of Acceptance,…
Tracy Rae Turner, of Carlsbad, California, a stockbroker formerly associated with Colorado Financial Service Corporation, has been fined $272,879.04 and barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Office of Hearing Officers Default Decision containing findings that Turner effected unauthorized private securities transactions and made…
Tracy Turner, of Carlsbad, California, a stockbroker previously registered with Colorado Financial Service Corporation, was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Turner effected unauthorized private securities transactions or selling away, and made misrepresentations to customers in connection with such. Department of Enforcement v. Tracy Turner, No. 2015047883501 (Nov. 3, 2016)….