Wessam Baiz (also known as Wes Baiz) of Perrysburg Ohio a stockbroker formerly employed by Huntington Investment Company has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Baiz failed to cooperate with an investigation into accusations of (1) Baiz’s undisclosed outside business activities and…
Frank Blaise Anthony Restifo Jr. of Willoughby Hills Ohio a stockbroker formerly employed by The Huntington Investment Company has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that Restifo failed to comply with FINRA’s request for information. Case No. 2017053647201 (Sept. 25, 2017). FINRA Public…
Charles Suhar (also known as Chuck Suhar) of Chardon Ohio a stockbroker formerly employed by The Huntington Investment Company has been suspended on July 20, 2018 from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Suhar failed to provide FINRA with information that was requested of him….
Ellen Vratoric of Glassport Pennsylvania a stockbroker formerly employed by The Huntington Investment Company has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Default Decision containing findings that Vratoric failed to testify in a FINRA investigation into accusations of her violative…
Melissa Lynne Maxwell, of Pepper Pike, Ohio, a stockbroker formerly registered with The Huntington Investment Company, has been named in a customer initiated investment related written complaint on January 29, 2015, in which the customer requested $6,642.25 in damages based upon allegations that Maxwell made misrepresentations to the customer concerning the penalties associated with the…
Nathan Thomas Koenig, of Perrysburg, Ohio, a stockbroker previously registered with The Huntington Investment Company, has been named in a customer initiated investment related written complaint on April 4, 2016, in which the customer requested $14,461.87 in damages based upon allegations that Koenig misrepresented a variable annuity, and omitted that the customer would forego guaranteed…
David Michael Miller, of Columbus, Ohio, a stockbroker with Huntingdon Investment Company, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity per an Office of Hearing Officers Default Decision containing findings that Miller engaged in unsuitable recommendations and negligent misrepresentations concerning customer accounts. Department of Enforcement v….
Jeffrey L. Rittberger of New Concord, Ohio, a stockbroker associated with Huntington Investment Company, was fined $10,000 and suspended for forty-five days from association with any Financial Industry Regulatory Authority (FINRA) member in all capacities after consenting to findings that he made unsuitable recommendations to firm customers. Letter of Acceptance, Waiver and Consent, No. 2013036874902…
David Michael Miller of Columbus, Ohio, a registered representative with Huntington Investment Company, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Miller did not have reasonable grounds for believing his recommendations were suitable in purchases of unit investment trusts in one hundred and twenty-nine customer accounts. Department…
Ameritas Investment Corp., Cetera Advisors LLC, Comerica Securities, Inc., Fifth Third Securities, Inc., First Allied Securities, Inc., Park Avenue Securities, LLC, Securities America, Inc., Huntington Investment Company, Cetera Advisor Networks LLC, Commonwealth Financial Network, MetLife, and Infinex Investment, Inc., were all recently censured and fined by Financial Industry Regulatory Authority (FINRA) for failing to apply…
Bryan Carnahan, a former general securities representative with Huntington Investment Company, was permanently barred from associating with any FINRA member in any and all capacities after consenting to FINRA findings that Carnahan had misappropriated $169,500 from his former firm’s customer. FINRA Letter of Acceptance, Waiver, and Consent No. 2015044908301 (May 1, 2015). According to the…