James Marc Unger of Cleveland Ohio a stockbroker formerly employed by Financial America Securities has been barred from being a stockbroker or investment advisor representative or otherwise associating with securities broker dealers or investment advisories according to an SEC Order Instituting Administrative Proceedings based in part on Unger misappropriating funds belonging to one of his…
Richard Ernest Griffin of Cleveland Ohio, a former general securities representative with Financial America Securities, Inc., was permanently barred in any and all capacities with a FINRA regulated entity after failing to appear and provide testimony in connection with a FINRA investigation into Griffin’s outside business activities. FINRA Letter of Acceptance, Waiver, and Consent No….