Walter James Reyna of McAllen, Texas, a stockbroker registered with Lincoln Financial Securities Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $5,000.00 in damages based upon allegations that Reyna made unsuitable recommendations relating to the sale of oil and gas…
David Lawrence Poulnot, of Daniel Island, South Carolina, a stockbroker currently registered with Lincoln Financial Securities Corporation, is referenced in a customer initiated investment related written complaint on March 2, 2020, where the customer sought compensatory damages founded on accusations of Poulnot failing to disclose the illiquidity of a real estate investment trust purchased by…
Charles Matthew Wernig III (also known as Chip Wernig) a stockbroker formerly registered with Kestra Investment Services LLC has been barred on August 5, 2019 from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Wernig neglected to provide a response to FINRA after a request for his…
Imran N. Razvi (also known as Raz Razvi) of Frederick Maryland a stockbroker formerly registered with Lincoln Financial Securities Corporation has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Razvi engaged in outside business activities which involved the…
Donald Eugene Bentley of Mt. Sterling Kentucky a former Lincoln Financial Securities Corporation registered representative is the subject of a Kentucky Department of Financial Institutions investigation into accusations that Bentley made misstatements to the regulator in the course of being audited. Bentley had previously been fined $5,000.00 by The Kentucky Department of Financial Institutions according…
Kevin Ray Bonner, of Burien, Washington, a stockbroker formerly registered with Lincoln Financial Securities Corporation, has been fined $2,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member by consenting to findings that included, inter alia, Bonner’s failure to disclose a customer loan arrangement which he later defaulted on….