Tag Archives: Kingsbury Capital Inc.

FINRA Sanctions Kingsbury Stockbroker For Selling Away

March 08, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions Kingsbury Stockbroker For Selling Away

Stewart Irwin Schram of Northbrook Illinois a stockbroker formerly registered with Kingsbury Capital Inc. has been fined $7,500.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Schram engaged in outside business activities and private securities transactions during the time that he […]

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World Equity Group Stockbroker Suspended For Annuity Fraud

Suzanne Hagmeyer, of Naperville, Illinois, a former stockbroker with World Equity Group, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that she made misstatements to customers concerning variable annuity transactions. Letter of Acceptance, Waiver and Consent, No. 2013036907001 (Dec. […]

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