Accelerated Capital Group 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…
CPR Radio Show Host Dan Levin Hit With FINRA Arbitration Award On May 19, 2017, a FINRA Dispute Resolution, Inc. arbitration panel issued a binding arbitration award against Dallas based financial planner Dan Levin, host of the CPR radio show, who markets his services through his company Comprehensive Planning for…
Charles DeNormandie, a registered representative from Alpharetta, Georgia formerly with Commonwealth Financial Network and Ameriprise Financial Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a…
Sandra Canaba, a registered representative from Santa Teresa, New Mexico formerly with LPL Financial and Chase Investment Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if…
Amanda Burnett, a registered representative from Decatur, Georgia formerly with Invest Financial Corporation was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to…
Lionel Brooks, a registered representative from Cumberland, Rhode Island formerly with Merrill Lynch was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to…
John Boals, a registered representative from Thompson, Ohio formerly with All State Financial Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
Ryan Miguel, Infinity Fuels hit with cease and desist order in Arizona. On April 11, 2017 the Corporation Commissioner for the state of Arizona, acting through the Securities Division issued a cease and desist order against Ryan Miguel, a former registered representative with Merrill Lynch for violations of the Securities…
Jared Artho, a registered representative from College Station, Texas formerly with JP Morgan Securities was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
Frank Scarso, a registered representative from Staten Island, NY, formerly with First Standard Financial, PHX Financial, Alexander Capital, Clark Dodge & Company and others was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. FINRA Rule 9552. Failure to Provide Information or Keep Information…