Articles Posted in Broker Permanently Barred

FINRA has barred Carlos Nestor Evertsz-Seda (aka Carlos Nextor Evertsz, CRD# 4757897.) He is a previously registered broker, and is not currently registered with any FINRA member. His last place of employment was K.C. Ward Financial (CRD# 145135) of Ronkonkoma, NY from 03/05/2010 to 05/09/2017. Seda also worked for K.C.…

Allegations of mismarking solicited trades as unsolicited follow this West Palm Beach broker from firm to firm. William Bruckner is accused of mismarking solicited trades as unsolicited and by doing so, violating his member-firm policy. Originally employed by Sanford C. Bernstein & Co., LLC in West Palm Beach, Florida from…

Valliades was also routinely accused of churning by former customers According to the Financial Industry Regulatory Authority (FINRA), New York Broker John Valliades was involved in a regulatory dispute that occurred while he was employed with Petersen Investments, Inc., in New York, NY. FINRA also reports that Valliades “consented to…

Broker failed to respond to agency following discharge from Wells Fargo Advisors, LLC after allegations related to his status as Power of Attorney for a client In August 2016, the Financial Regulatory Authority (FINRA) permanently barred former Wells Fargo Advisors, LLC broker Patrick Perales from participating as a broker or…

He allegedly misrepresented information regarding both fixed and variable annuities to customers who suffered financial losses as a result While the Financial Industry Regulatory Authority (FINRA) permanently barred former NYLife Securities LLC broker Amr Mostafa Aboulmagd in October 2016, additional complaints continue to be filed against him. With a total…