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FINRA Sanctions Broker for Using WhatsApp to Text Overseas Clients

The Financial Industry Regulatory Authority has fined Aegis Capital Corp. broker Paul Falcon $5,000 for using Facebook’s WhatsApp Messenger to communicate with three of...

SEC Obtains Judgment Against Former Adviser Charged with Defrauding Retirees

A federal district court in Massachusetts entered a final judgment against Richard Cody, a former investment adviser and broker representative who defrauded Massachusetts retirees. According...

FINRA Bars Former LPL Broker for Refusing to Participate in Investigation

The Financial Industry Regulatory Authority has barred a former LPL Financial broker for refusing to provide documents and on-the-record testimony to the regulators following...

SEC Charges Adviser for Defrauding Two Retail Investors in Oversees Investment...

The Securities and Exchange Commission has charged Richard G. Duncan, a longtime investment adviser and broker who first became registered in 1971, with defrauding...

FINRA Bars Former Pruco Broker for Forging VA Applications to Meet...

The Financial Industry Regulatory Authority has barred Karen Paek, a former Pruco Securities broker, for creating and submitting multiple fictitious variable annuity applications to...

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

The Securities and Exchange Commission has charged Commonwealth Financial Network, a registered investment adviser and broker-dealer that manages approximately $85 billion in client assets,...

FINRA Bars Raymond James Compliance Associate for Doctoring Branch Audit Forms

The Financial Industry Regulatory Authority has barred a former Raymond James & Associates Inc. compliance associate for allegedly falsifying firm branch audit data to...

FINRA Bars Former Cetera Advisors Rep

Financial Industry Regulatory Authority has barred former Cetera Advisors representative George C. Merhoff Jr. for failing to provide documents and information to the regulators...

FINRA Bars Former LPL Rep

Financial Industry Regulatory Authority has barred former LPL Financial representative Jason Nelson for refusing to provide testimony to regulators in connection with his termination...

FINRA Bars Former Commonwealth Broker for Refusing to Provide Documents to...

The Financial Industry Regulatory Authority has barred Benjamin Frank Bourgeois, a former Commonwealth Financial broker, for refusing to produce documents and information requested by...