Nancy Ann Munro Gaumer (also known as Nancy Ann Munrogaumer) of Media Pennsylvania a stockbroker registered with Signator Investors Inc. and BestVest Investments Ltd. has been fined $7,500.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Gaumer failed to report that…
Dee Dee Brooks (also known as Doris Brooks and as Doris Takooshian) of Huntington Beach California a stockbroker formerly associated with Signator Investors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that she engaged in unapproved private securities transactions involving Future Income Payments…
James Edmond Moniz (also known as James E. McGowan-Moniz) of West Palm Beach Florida a stockbroker formerly associated with Essex Securities LLC has been sanctioned by the Massachusetts Securities Division based in part upon findings that he has been subject of customer disputes and that he has been sanctioned by the regulator as well as…
Edward Joseph Bosch Sr. of Florence Kentucky a stockbroker formerly registered with Signator Investors Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested damages estimated to exceed $5,000.00 based upon allegations that misrepresentations were made to the customer about a variable annuity that Bosch sold during the…
Keith Matthew Smith of Mountain Top Pennsylvania a stockbroker employed by Signator Investors Inc. is the subject of a customer initiated investment related complaint on April 26, 2018 in which the customer requested damages estimated to exceed $5,000.00 supported by allegations of Smith having misrepresented the terms and premiums on life insurance policies sold to…
David Carl Ferwerda of Grand Rapids Michigan a stockbroker formerly registered with Signator Investors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to comply with FINRA in an investigation concerning his alleged unapproved private securities transactions. Letter of…
Sidney Joseph Dufresne Jr. of New Orleans Louisiana a stockbroker formerly registered with Signator Investors 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 based upon consenting to findings that he engaged in outside business activities. Letter of Acceptance Waiver and…
Judith Ann Tengler of Broadview Heights Ohio a stockbroker formerly registered with Signator Investors Inc. is referenced in a customer initiated investment related written complaint that was settled on March 1, 2017 to resolve allegations that Tengler effected trades in the customer’s variable annuity account without procuring the customer’s authorization. Financial Industry Regulatory Authority (FINRA)…
Michael Marlowe Jr. of Williamsville New York a stockbroker currently registered with Signator Investors Inc. is the subject of a customer initiated investment related written complaint on April 2, 2018 in which $5,000.00 in damages was requested based upon allegations that the customer was placed in a single premium immediate annuity that was not suitable…
Joseph John Oakes III of Livingston New Jersey a stockbroker currently registered with Signator Investors Inc. is the subject of a customer initiated investment related civil action where the customer requested damages estimated to exceed $5,000.00 in damages founded on accusations of breach of contract relating to the customer’s insurance policy. Civil Action No. MRS-L-2766-17…
Brian Patrick Murphy of Yardley Pennsylvania a stockbroker formerly registered with Signator Investors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to respond to a request from FINRA concerning Murphy’s business activities. Case No. 2016050677201 (Jan. 30, 2017). Murphy was…
Joseph Glenn Pratte of Riverside California a stockbroker formerly registered with Signator Investors Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by consenting to findings that he failed to provide FINRA with information and documentation in the course of an investigation into accusations of his…
David Jonathan Bolton of Bowling Green Kentucky is a stockbroker formerly registered with Signator Investors Inc. who is the subject of a Financial Industry Regulatory Authority (FINRA) Complaint alleging that Bolton executed unsuitable transactions in customer accounts and mismarked customer order tickets. Department of Enforcement v. David JC Bolton Disciplinary Proceeding No. 2016049775701 (Apr. 12,…
David Albert Ross, of Murfreesboro, Tennessee, a stockbroker formerly registered with Woodbury Financial Services, Inc., has been suspended for ten months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he entered into unauthorized loan arrangements with customers of the firm, and engaged in outside business…
Kyle Evan Murphy, of Glen Allen, Virginia, a stockbroker formerly registered with NYLife Securities LLC, has been named in a customer initiated investment related written complaint on January 23, 2017, based upon allegations that Murphy failed to apprise the customer regarding penalty free withdrawals from the customer’s variable annuity contract. Financial Industry Regulatory Authority (FINRA)…
Alfred K. Chan, of Oakland, California, a stockbroker with Signator Investors, Inc., was fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in unauthorized outside business activities, and distributed unapproved and unbalanced sales materials to prospective customers….
Morissa F. Rivo of Boca Raton, Florida, a registered representative with Signator Investors, Inc., was barred by Financial Industry Regulatory Authority (FINRA) from associating with any member in any capacity in connection with Rivo’s failure to cooperate with a FINRA investigation into allegations of Rivo’s misconduct. Letter of Acceptance, Waiver and Consent, No. 2014041961001 (Jan….