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Blog: FINRA - Page 4

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August 9, 2019

UBS Broker Nicolas Barrios Barred for Failure to Cooperate With Fraud Investigation

Nicolas Jesus Barrios (CRD# 2122824) has been permanently barred from the securities industry for not providing requested documents and information...
August 8, 2019

Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into the Possible Misuse of Elderly Client Assets

Robert Frederico Montes (CRD# 835488) has been barred by the Financial Industry Regulatory Authority (FINRA) for failing to cooperate with...
July 31, 2019

SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3m Investor Fraud

Kerry Lee Hoffman (CRD# 1061740) has been sued by the SEC for  allegedly defrauding at least 46 investors out of...
July 10, 2019

Ohio Broker Michael Mackay Barred Over FINRA Investigation Into Outside Business Activity

Ohio Broker  Michael Richard Mackay (CRD#2279775) has been barred by FINRA for failing to comply with a regulatory investigation into...
June 18, 2019

Utah Lpl Rep Jason Nelson Barred By FINRA

Jason Reed Nelson, a former LPL Financial representative in Tremonton, Utah, has been barred by FINRA over failing to cooperate...
June 4, 2019

Louisiana Broker Benjamin Bourgeois Jr. Barred By Finra In Investment Fraud Investigation

Regulatory officials from FINRA have barred Louisiana Broker-Advisor Benjamin Frank Bourgeois Jr. (CRD# 2145555) for failing to cooperate with an...
May 28, 2019

Former Advisor William Hobby Implicated in 20+ Customer Disputes

Former Broker / Advisor William David Hobby (CRD# 2240076) has been implicated in over 20 customer disputes, according to FINRA’s...
May 23, 2019

Proposed FINRA Rule Would Address Supervision of Brokers Who Pose the Highest Risk to Investors

As part of its mission to regulate broker-dealers and their employees, the Financial Industry Regulatory Authority (FINRA) is now proposing...
May 22, 2019

Broker Matthew Buchsbaum Faces Investor Complaints

UBS Financial Services Inc.’s broker Matthew Buchsbaum (CRD# 2220565) is facing a number of complaints from customers who are alleging...
May 13, 2019

Invest in GPB Capital Private Placements at Broker’s Recommendation?

Did you invest in private placements packaged by GPB Capital at the recommendation of your broker-advisor? Investment loss attorneys at...
April 26, 2019

San Antonio Broker Derrick Trussell Barred by FINRA for Failing to Comply With Regulatory Investigation Over Outside Business Activities

San Antonio Broker Derrick Trussell (CRD# 5197550) has been barred from acting as a broker and associating with brokerage firms...
April 24, 2019

Boston Broker David Manor Resigns From Wells Fargo, Faces FINRA Complaint

Financial Advisor David Manor (CRD# 6033220) is facing a FINRA complaint following allegations that he assisted a client in investing...

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