Tag Archives: LLC

MT Securities Fires Broker For Annuity Twisting

November 23, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

John Wesley Conrad Robinson of Elizabethtown Pennsylvania a stockbroker formerly registered with MT Securities Inc. has been discharged on July 20, 2017 supported by the firm’s allegations that Robinson violated annuity policies and procedures when Robinson executed the replacement of customers’ existing annuity with another fixed annuity. Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally […]

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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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Pruco Securities Stockbroker Sanctioned For Forgery

July 29, 2017  |   Posted by :   |   Forgery   |   0 Comments

Jeffrey Allen Delaney Junior, of Columbia, South Carolina, a stockbroker formerly registered with Pruco Securities, LLC, has been fined $15,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Delaney, inter alia, forged a customer’s signature on account documentation. Letter […]

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JJB Hilliard WL Lyons In Suitability Arbitration

July 29, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Mark Fallon Kregor, of Louisville, Kentucky, a stockbroker formerly registered with J.J.B. Hilliard, W.L. Lyons, LLC, is the subject of a customer initiated investment related arbitration claim on May 1, 2017, wherein the customer requested $374,141.00 in damages based upon allegations that Kregor effected over-the-counter equity transactions in the customer’s account that were not suitable […]

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Allstate Stockbroker Barred In Misappropriation Investigation

Joseph Murray Snyder III, a Stockbroker with Allstate Financial Services, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to findings that he failed to cooperate with FINRA in their investigation into allegations of Synder’s misappropriation of customer funds. Letter of Acceptance, Waiver, and Consent, No. 2014040233501 (Oct. […]

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