On October 27, 2015 the Securities and Exchange Commission issued an Order instituting administrative proceedings pursuant to section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisors Act of 1940 against John D’Auria. On July 13, 2015, D’Auria pled guilty to one count of…
On November 2, 2015 the Securities and Exchange Commission issued an Order instituting administrative proceedings pursuant to section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisors Act of 1940 against Jonathan Warren Brooks. Brooks is currently incarcerated in Kershaw, South Carolina. He was…
On October 30, 2015 in the Southern District of Ohio The Securities and Exchange Commission filed an enforcement action against William Apostelos and his companies WMA Enterprises, LLC, Midwest Green Resources, and OVO Wealth Management. The complaint alleged that Willlaim Apostelos and his companies conducted a fraudulent investment scheme. The…
Frank Savigne a registered representative formerly with Wells Fargo Advisors in Sarasota, FL was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Jason Mininger a registered representative formerly with Kovack Securities in Rocklin, CA was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered representative…
Peter Gouzos a registered representative formerly with Hunter Scott Securities in DelRay Beach, FLwas suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Hugh Dyson a registered representative formerly with Ameriprise Financial Services in Raleigh, NC was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Robert Altemus a registered representative formerly with Merrill Lynch in Walnut Creek, CA was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
James Ackerman a registered representative formerly with Sloan Securities in Englewood Cliffs, NJ was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Donald McBirney a registered representative formerly with Sterne Agee in San Francisco, CA was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…