Troy Baldridge was suspended and barred by FINRA Troy Baldridge, a registered representative from Richmond, Virginia, formerly with Capital Securities Management and Capital Securities & Associates was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. In August, 2016 he was discharged from the…
FINRA suspends, bars Cheryl Lynn Wallace. Cheryl Lynn Wallace, a registered representative from Henderson, Nevada, formerly with Ameriprise Financial and Edward Jones was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. Wallace was discharged from Ameriprise after allegations that she failed to follow…
FINRA suspends, bars Donald Toomer Donald Toomer, a registered representative from Henderson, Nevada, formerly with Wells Fargo Advisors was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. Toomer had previously been charged by the SEC with enagaging in securities fraud. The allegations pertain…
John Ezmat was suspended then barred by FINRA John Ezmat, a registered representative from Oakland, New Jersey, formerly with AXA Advisors in Verona, NJ was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. He was later barred by the organization. FINRA Rule 9552.…
In February, 2017 the Certified Financial Planner Board’s Commission of Discipline and Ethics disciplined Triad Advisors’ CFP Douglas Miller by issuing an interim suspension. While under the interim suspension, Miller is prohibited from using the CFP certification pending a complete investigation by the CFP Board. Miller, of Toledo, Ohio was…
In February, 2017 the Certified Financial Planner Board’s Commission of Discipline and Ethics disciplined certified financial planner Sheldon Harber by suspending his CFP certification for a period of five months; from February 2017 through July, 2017. Harber, of St. Louis, Missouri, Arkansas was previously registered with Geneos Wealth Management, Cambridge…
On May 15, 2017 the Corporation Commissioner for the state of Arizona, acting through the Securities Division filed a complaint seeking a cease and desist order, and the revocation of securities licensing against Michael Crowe, a registered representative formerly registered with Securities America and FSC Securities Corporation. The Corporation Commissioner…
Alpine Securities Corporation charged by SEC. On June, 5, 2017 the SEC charged Alpine Securities Corporation, a Utah based broker dealer with violations of the United States securities laws, specifically section 17(a) of the Securities Exchange Act of 1934. The SEC’s complaint arises from a series of microcap stock transactions…
Corecap Investments was named as a broker dealer that employs a large percentage of registered reps with publicly disclosable incidents. A study commissioned by Reuters with the assistance of Columbia University Law School identified nearly fifty FINRA registered broker dealers where a large percentage of its brokers had “red flags”…
Concorde Investment Services was named as a broker dealer that employs a large percentage of registered reps with publicly disclosable incidents. A study commissioned by Reuters with the assistance of Columbia University Law School identified nearly fifty FINRA registered broker dealers where a large percentage of its brokers had “red…