Tag Archives: U.S. Bancorp Investments

US Bancorp Accused By Customer Of Unauthorized Trading

January 09, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Denes Joseph Chapo III, of Cleveland, Ohio, a stockbroker associated with U.S. Bancorp Investments, is the subject of a customer initiated investment related written complaint on July 10, 2017, in which the customer requested $12,128.25 in damages based upon allegations that Chapo effected unauthorized over-the-counter equities purchases in the customer’s account. Financial Industry Regulatory Authority […]

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US Bancorp Stockbroker Suspended For Customer Loans

December 15, 2017  |   Posted by :   |   Customer Loans   |   0 Comments

Robert Montano, of Chicago, Illinois, a stockbroker formerly registered with U.S. Bancorp Investments, 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 by consenting to findings that he entered unauthorized loans with the firm’s customers. Letter of Acceptance, Waiver and Consent, […]

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US Bancorp Broker Fined For Outside Business Activities

October 16, 2017  |   Posted by :   |   Variable Annuites   |   0 Comments

Charles Anderson Cumber Jr., of Albuquerque, New Mexico, a stockbroker formerly registered with U.S. Bancorp Investments, Inc., was fined $7,500.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he engaged in unapproved outside business activities involving insurance and equity-indexed annuities. […]

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US Bancorp Stockbroker Barred For Selling Away

John S. Hudnall, of San Francisco, California, a stockbroker formerly registered with U.S. Bancorp Investments and Bancwest Investments Services, Inc., was permanently barred by Financial Industry Regulatory Authority (FINRA) Department of Enforcement per an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Hudnall engaged in unauthorized private securities transactions or selling […]

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US Bancorp Stockbroker Charged With Unsuitable Recommendations

John S. Hudnall, of San Francisco, California, a stockbroker with U.S. Bancorp Investments and Bancwest Investments Services, Inc., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Hudnall engaged in unauthorized private securities transactions, unsuitable recommendations, and made false representations to FINRA regarding his misconduct. Department of Enforcement […]

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