Juan Carlos Sosa of Studio City, California, a stockbroker registered with SagePoint Financial Inc. (now known as Osaic Services Inc.), has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Sosa engaged in the unauthorized transfer and use of customer funds during the time that he was associated with…
Jack W. Yvars of Concord, New Hampshire, a stockbroker registered with Osaic Wealth Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $104,624.00 in damages based upon allegations that Yvars made the unsuitable investment recommendation of certain mutual funds when Yvars…
David Kenneth Thiele, of Bend, Oregon, a stockbroker formerly registered with FSC Securities Corporation, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $325,000.00 in damages based upon allegations that Thiele made the unsuitable investment recommendation of alternative investments when Thiele was…
David Victor Tall (also known as Dave Tall), of Costa Mesa, California, a stockbroker formerly registered with Osaic Wealth Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Tall failed to cooperate with an investigation into allegations of his execution of promissory notes away from the…
Timothy Harold Judson of McLean, Virginia, a stockbroker registered with Osaic Wealth Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested damages between $100,000.00 and $500,000.00 based upon allegations that Judson made unsuitable recommendations in direct investments during the time that Judson was associated with…
Rajvinder Singh Budwal of San Jose, California, a stockbroker associated with SagePoint Financial Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $22,500.00 in damages based upon allegations that Budwal made unsuitable recommendations of an equity fund. Budwal was associated with SagePoint…
Rodney Michael Ferruso (also known as Rod Ferruso), of Morgantown, West Virginia, a stockbroker registered with Osaic Wealth Inc. (previously known as Royal Alliance Associates Inc.), has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ferruso refused to appear and testify in a FINRA investigation concerning allegations…