Kimberly Ann Carson (also known as Kimberly Beveridge) of San Jose, California, a stockbroker previously registered with SCF Securities Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Carson “borrowed” customer funds. Letter of Acceptance, Waiver, and Consent No. No….
Murray Todd Petersen (also known as Todd Petersen), of Roseville, California, a stockbroker formerly registered with SCF Securities Inc. and WFG Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he engaged in outside business activities and private securities transactions. Letter of…
Murray Todd Petersen (also known as Todd Petersen) of Roseville California a stockbroker formerly registered with SCF Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $77,500.00 in damages supported by accusations of breach of fiduciary duty and fraud as it pertained to an outside…
Murray Todd Petersen (also known as M. Todd Petersen) of Roseville California a stockbroker formerly employed by SCF Securities Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $960,000.00 in damages founded upon accusations of the breach of fiduciary duty and fraud as it pertained to an outside…
Tami Susan Balas of Montoursville Pennsylvania a stockbroker formerly registered with SCF Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Balas did not respond to a FINRA inquiry. Case No. 2017056821201 (Nov. 19, 2018). FINRA Public Disclosure reveals that Balas initially…
Cletus Enyinia Emeziem is a stockbroker formerly registered with SCF Securities Inc. who has been discharged by the firm on based upon allegations that Emeziem engaged in a pattern of trading in customer accounts on an excessive basis. This is not the first time that Emeziem has been discharged by a FINRA member firm for…
Lee Robert Donais of Lighthouse Point Florida a stockbroker formerly registered with SCF Securities Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $200,000.00 in damages supported by allegations that unsuitable investment recommendations were made to the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-01271 (Apr….
Williard Lee Golightly of Fresno California is a stockbroker formerly registered with SCF Securities Inc. and advisor employed by Alamo Asset Advisors who has been sanctioned by Financial Industry Regulatory Authority (FINRA) on December 14, 2016 based upon accusations that he failed to cooperate with his obligations to pay $155,000.00 in compensatory damages to a…
Peter Orlando is a stockbroker formerly associated with SCF Securities Inc. who is the subject of a Complaint brought by Financial Industry Regulatory Authority (FINRA) containing accusations that Orlando made unsuitable investment recommendations to a customer and procured signed but otherwise blank documents to effect transactions. Department of Enforcement v. Peter Orlando Disciplinary Proceeding No….