Tag Archives: The Huntington Investment Company

Huntington Stockbroker Barred In Investigation Over $100,000 Gift

February 16, 2021  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on Huntington Stockbroker Barred In Investigation Over $100,000 Gift

Lisa Marie Stevenson (also known as Lisa Marie Gastaldo) of New Albany Ohio a stockbroker formerly registered with The Huntington Investment Company has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that she failed to cooperate with FINRA while she was under investigation for possibly […]

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Huntington Stockbroker Sanctioned For Selling Away

June 03, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on Huntington Stockbroker Sanctioned For Selling Away

William Joseph Kielczewski (also known as Bill Kielczewski) of Toledo Ohio a stockbroker formerly registered with The Huntington Investment Company has been fined $50,000.00 and suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Extended Hearing Panel Decision containing findings that Kielczewski had been […]

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Unit Investment Trust Fraud Results In Suspension of Wayward Stockbroker

Richard Graham, of Lafayette, Indiana, a stockbroker registered with The Huntington Investment Company, was fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he made unsuitable investment recommendations to customers. Letter of Acceptance, Waiver and Consent, No. 2015046281401 (Sept. 29, 2016). According to […]

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