Fredrick Martin Randhahn (also known as Fred Randhahn and Frederick Martin Randhahn), of Ogden, Utah, a stockbroker registered with Sigma Financial Corporation, has been barred as a stockbroker by Utah Division of Securities based upon allegations that Randhahn violated state securities laws. In the Matter of Fred M. Randhahn, Notice of Agency Action, Docket No….
Elizabeth Ann Morrell of Westlake Village California a stockbroker formerly employed by Western International Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that she declined to cooperate with a FINRA investigation regarding allegations of her sales of promissory notes relating to Woodbridge Group…
Michael John Rappa of San Diego California a broker formerly employed by Foresters Equity Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Rappa failed to cooperate with FINRA personnel who had been investigating Rappa’s possible unauthorized private securities transactions….
Joel Vincent Flaningan of Fort Wayne Indiana a stockbroker formerly registered with NYLife Securities LLC has been discharged by the firm on May 10, 2018 based upon allegations that Flaningan took part in the solicitation of Woodbridge Mortgage Investment Fund (an unregistered entity that went bankrupt) without notifying and procuring approval from NYLife Securities LLC….
Christopher Todd Wendel of Celina Ohio a stockbroker formerly registered with SA Stone Wealth Management Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from his employer and falsified testimony in a FINRA investigation into accusations of his…
Frank John Capuano, of Holyoke, Massachusetts, a stockbroker with Royal Alliance Associates, Inc., was fined $10,000.00 and suspended for a year from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in unauthorized private securities transactions. Letter of Acceptance, Waiver and Consent, No. 2015046273001…