Tag Archives: Jr.

Stifel Nicolaus Broker Fined For Unauthorized Trading

December 15, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Nolan Dudley Baird, Jr., of Augusta, Georgia, a stockbroker registered with Stifel, Nicolaus & Company, Incorporated, has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected trades in customer accounts without authorization. Letter of Acceptance, Waiver and Consent, […]

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Wells Fargo Stockbroker Charged With Obstruction

October 03, 2017  |   Posted by :   |   Unauthorized Trading   |   0 Comments

Hector Hugo Gutierrez, Jr., of Brownsville, Texas, a stockbroker formerly registered with Wells Fargo Advisors, LLC, was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to make an appearance and testify before FINRA staff in reference to accusations that he effected unauthorized transactions in customer accounts. Department of Enforcement […]

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Mid Atlantic Stockbroker Barred For Fraud

Walter Francis Grenda, Jr., of Buffalo, New York, a stockbroker with Mid Atlantic Capital Corporation was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any and all capacities per an Order Accepting Offer of Settlement containing findings that he engaged in fraudulent omissions and misrepresentations, engaged in improper loans from the […]

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Keystone Equities Group Brokers Barred

William B. Fretz, Jr., and John P. Freeman, both of Oaks, Pennsylvania, were found by the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to have engaged in business-related conduct that is inconsistent with just and equitable principles of trade as a consequence of providing misleading information to FINRA and filing a false Form U4. […]

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Northwestern Mutual Broker Fined for Outside Business Activities

Richard J. Rubin, Jr. of Stamford, Coonecticut, a registered representative for Northwestern Mutual, was fined $5,000 and suspended for fifteen days from association with any Financial Industry Regulatory Authority (FINRA) member firm in any and all capacities after consenting to findings that he engaged in an outside business activity without the written approval of his […]

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