Securities Fraud Lawyer Blog

April 21, 2017

Wesley Oler Suspended by FINRA

Wesley Oler, a registered representative from Cos Cob, Connecticut, formerly with LPL Financial was suspended from FINRA membership for violations of Rule 9552

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 21, 2017

Dennis Hern Suspended by FINRA

by David Liebrader

Dennis Hern, a registered representative from Kapolei, Hawaii, formerly with Ameriprise Financial and First Command Financial was suspended from FINRA membership for violations of Rule 9552

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 21, 2017

FINRA Suspends Jasper Boykin

by David Liebrader

Jasper Boykin, a registered representative from Atlanta, Georgia, formerly with Metlife Securities, Quest Capital Strategies and Nationwide Securities was suspended from FINRA membership for violations of Rule 9552

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 21, 2017

Joseph Ambrosole Suspended by FINRA

by David Liebrader

Joseph Ambrosole, a registered representative from Staten Island, New York, formerly with Meyers Associates and Joseph Stone Capital was suspended from FINRA membership for violations of Rule 9552

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 19, 2017

Kuana Vick Suspended from FINRA

by David Liebrader

Kuana Vick, a registered representative from Fayettville, North Carolina, formerly with First Citizens Investor Services was suspended from FINRA membership for violations of Rule 9552

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 19, 2017

Michael Vetere Suspended from FINRA

by David Liebrader

Michael Vetere, a registered representative from Bronx, NY, formerly with Hornor, Townsend & Kent and NY Life Securities was suspended from FINRA membership for violations of Rule 9552

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 19, 2017

Ladd Tanner Suspended by FINRA

by David Liebrader

Ladd Tanner, a registered representative from Sandy, Utah, formerly with Trustmont Financial Group and GunnAllen Financial was suspended from FINRA membership for violations of Rule 9552

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 19, 2017

Craig Ruschmeyer Suspended by FINRA

by David Liebrader

Craig Ruschmeyer, a registered representative from Cottage Grove, Minnesota, formerly with Feltl & Company and Wells Fargo Advisors was suspended from FINRA membership for violations of Rule 9552

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

April 19, 2017

Tedla Khan Barred by FINRA

by David Liebrader

Tedla Khan, a registered representative from Hong Kong, formerly with Goldman Sachs & Company was suspended from FINRA membership for violations of Rule 9552

FINRA Rule 9552. Failure to Provide Information or Keep Information Current

This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person.

March 20, 2017

Mark Stanczyk Pending Investigation

by David Liebrader

Mark Stanczyk investigated for over-concentration in elderly client’s accounts.

The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Mark Stanczyk, a licensed FINRA registered representative formerly affiliated with Leigh Baldwin & Company and Pinnacle Investments.

Mark Stanczyk has been FINRA licensed to sell securities for 31 years, and was affiliated with Leigh Baldwin from 2013 – 2016, working out of their Cazenovia, New York branch. Prior to that Stanczyk worked for Pinnacle Investments, Wachovia Securities, Prudential Securities, Salomon Smith Barney and Lehman Brothers, where he got his start in the industry in 1984.