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Articles Posted in Disciplinary Actions

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FINRA fines Mercury Securities

Mercury Securities hit with censure and fine In July 2017, the Financial Industry Regulatory Authority (“FINRA”) announced that Mercury Securities of San Rafael, CA submitted an acceptance, waiver and consent letter regarding its failure to effectively approve and document private securities transactions made by their representatives. The firm was censured…

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William Jordan Investments Investigation

William Jordan Investments Barred by California DBO; Bankruptcy Filing! On August 16, 2017 the State of California’s Department of Business Oversight announced a consent order and issued a bar which prevents William Jordan Investments from acting as an investment advisor or a broker dealer in California.  The Order also bars…

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Kevin Wanner barred over CD Sales

Kevin Wanner barred over CD sales In January, 2016 FINRA barred broker Kevin Wanner formerly of Questar Capital Corporation and Woodbury Financial for his role in brokering certificates of deposit and selling unregistered securities. In August, 2017 the North Dakota Securities Department made findings that Kevin Wanner, doing business as…

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Bob Simons of International Assets suspended by FINRA

Bob Simons suspended over discretionary trading In June, 2016 FINRA suspended International Assets Advisory broker Bob Simons for 45 days and fined him $5,000 over allegations that Simons used a private email account to conduct firm business and exercised  discretion in customer accounts without complying with firm protocol for doing…

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