Tyson William Allred, of Portland, Oregon, a stockbroker formerly registered with U.S. Bancorp Investments Inc., is the subject of a customer initiated investment related complaint filed on September 5, 2023, in which the customer requested $998,131.88 in damages based upon allegations that Allred made specific assurances that the investment chosen for the customer involved protected…
Sean Pong (also known as Syany Pong), of Los Alamitos, California, a stockbroker registered with US Bancorp Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Pong failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Letter of Acceptance, Waiver,…
David Joseph Campanella, of Cleveland, Ohio, a stockbroker formerly registered with US Bancorp Investments Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Campanella falsified information in a FINRA investigation concerning accusations of his involvement in undisclosed financial accounts while registered with US…
John Mark Ross of Missoula Montana a stockbroker formerly registered with US Bancorp Investments Inc. is the subject of a customer initiated investment related written complaint which was resolved for $127,210.30 in damages on January 9, 2019 founded on allegations of unauthorized trading by Ross while he was associated with Wells Fargo Advisors. According to…
Steven Wayne Below of Naperville Illinois a stockbroker currently employed by U.S. Bancorp Investments Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $1,020,005.18 in damages supported by accusations that stocks had been sold from the customer’s investment account without the customer’s consent. Financial Industry Regulatory Authority (FINRA)…