Stephen Corley Carver of Peoria Illinois a stockbroker formerly registered with LifeMark Securities Corp. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Carver failed to cooperate with FINRA personnel during the time that he was investigated for a customer initiated investment…
William Dean Byrd of Tampa Florida a stockbroker formerly employed by Transamerica Financial Advisors Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $300,000.00 in damages founded on accusations that (1) trades were made solely to generate commissions from the customer (2) the customer’s account was over concentrated by…
William Dean Byrd, of Tampa, Florida, a stockbroker formerly registered with Transamerica Financial Advisors, Inc., is the subject of a customer initiated investment related arbitration claim, which settled on January 19, 2017, for $100,000.00 in damages based upon allegations that Byrd made misrepresentations to the customer concerning mutual fund investments and effected transactions in the…
William Dean Byrd, of Tampa, Florida, a stockbroker formerly registered with Transamerica Financial Advisors, Inc., was named in a customer initiated investment related arbitration claim on June 2, 2016, which settled for $42,500.00 in damages based upon allegations that Byrd breached his fiduciary obligations to the customer, made misrepresentations concerning investments, and made investment recommendations…