According to FINRA Disciplinary actions for April 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Roberto Omar…
Articles Posted in FINRA Disciplinary Actions
April 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for April 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Adam Christopher Boynton Morgan Stanley Wells Fargo Advisors, LLC Olori Dennis Hamilton…
FINRA Suspends Registered Individuals in April 2017 for Violations of FINRA Rules
According to FINRA Disciplinary actions for April 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Miguel Anel…
Sherman L. Greer, Formerly North Carolina LPL Financial Branch, Under Investigation
Silver Law Group is investigating former Locust, North Carolina-based LPL Financial LLC (CRD# 6413) broker Sherman L. Greer(CRD# 4910464) after FINRA permanently barred him. According to Greer’s FINRA BrokerCheck report, FINRA permanently barred Greer in November 2016 from acting as a broker or otherwise associating with firms that sell securities…
In March 2017, FINRA Suspends Registered Individuals for Violations of FINRA Rules
According to FINRA Disciplinary actions for March 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael David Charest Citizens Securities, Inc. CCO Investment Services Corp. William Thomas…
FINRA Suspends Registered Individuals in March 2017 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for March 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Philip Bagalanon…
Registered Individuals Barred by FINRA in March 2017 for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for March 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Dennis…
Las Vegas Broker Frank R. Underhill Under Jr Investigation After FINRA Permanently Bars Him
Silver Law Group is investigating former Las Vegas, Nevada broker Frank R. Underhill Jr. (CRD# 4970331) after FINRA permanently barred him. According to Underhill’s FINRA BrokerCheck report, Underhill who owned and operated his own brokerage firm, Underhill Securities Corp. (CRD# 148001), FINRA permanently barred Underhill from acting as a broker…
Cetera Brokerage Firm Investors Capital Corp Fined $1.1 Million Over Sales of Unit Investment Trusts
Cetera Brokerage Firm Investors Capital Corp Fined $1.1 Million Over Sales of Unit Investment Trusts Silver Law Group is investigating investor claims against Cetera Financial Group-owned Investors Capital Corp. (CRD# 30613) after FINRA fined the firm and ordered it to pay restitution of over $1.1 million for allegations of short-term…
Broker Matthew DiGregorio Who Has Worked at 18 Different Firms Under Investigation After FINRA Bar
Silver Law Group is investigating former New York broker Matthew DiGregorio after FINRA permanently barred him. According to DiGregorio’s FINRA BrokerCheck report, FINRA permanently barred DiGregorio after he told FINRA staff that he does not intend to honor an award that a FINRA arbitration panel ordered him to pay to…