Thomas Earl Wilkinson III of Mesa Arizona a stockbroker formerly registered with J.P. Turner Company LLC is the subject of a customer initiated investment related arbitration claim which was resolved for $32,500.00 in damages supported by accusations that the customer was placed in unsuitable corporate debt products including Puerto Rico bonds and Brogdon bonds. Financial…
Diana Lynne Stamborski, of Palatine, Illinois, a stockbroker formerly registered with LaSalle St Securities, L.L.C., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she engaged in outside business activities in violation of her firm’s policies. Letter of Acceptance,…
Joel Martin Weiner, of Boyton Beach, Florida, a stockbroker formerly associated with LaSalle Street Securities L.L.C., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unauthorized outside business activities. Letter of Acceptance, Waiver and Consent, No. 2015044783402 (Dec. 21,…