Securities Arbitration Lawyers Blog

Broker’s record includes failure to supervise, tax liens and civil judgments. In his 46 years in the securities industry, Oklahoma City investment advisor Carl Busch has six disclosure events listed on his official FINRA BrokerCheck record. The most recent event in December 2015 shows that FINRA sanctioned Busch $5,000 and…

Have you invested money with Cantone Research or its affiliates? In an official FINRA disciplinary proceeding in 2012, New Jersey brokerage firm Cantone Research Inc. (CRI) and firm Vice President and Chief Compliance Officer Christine Cantone (Cantone) agreed to the entry of findings, violations, and sanctions filed against both parties.…

Broker’s securities industry career is tainted with allegations, suspensions, and sanctions. For a second time in his 25-year securities industry career, Bailey has been suspended from acting as a broker or otherwise associating with firms that sell securities to the public. This most recent suspension in November 2015 is due…

According to FINRA Disciplinary actions for February 2016, 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   Philip Wayne Conley   Merrill Lynch, Pierce, Fenner & Smith, Inc.   Wells Fargo Advisors,…

According to FINRA Disciplinary actions for February 2016, 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   Steven Angelo…

According to FINRA Disciplinary actions for February 2016, 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   Joe L.…

If you invested funds with Bernard Parker at Edward Jones, you need to keep reading. Most recently registered with Edward Jones in Indiana, PA, Bernard Parker is now permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. According to his FINRA…

Montana financial advisor barred from securities activity for multiple FINRA violations In a ruling that came in August 2015, the Financial Industry Regulatory Authority (FINRA) permanently barred Barry G. Hartman, formerly of FSC Securities Corporation in Missoula, MT, for allegedly engaging in a practice known in the industry as selling…

Former Dynasty Capital Partners broker ends 15-year career with numerous customer disputes. After 17 years as a financial adviser, Raymond T. Clark has been permanently barred from the securities industry. This permanent bar follows Clark’s failure to pay fines and/or costs associated with a FINRA complaint. The complaint also alleges…

Financial advisor Patrick Garrett barred from having any activity with FINRA regulated firms The Financial Industry Regulatory Authority (FINRA) has taken steps to bar Patrick Garrett of Nashville, TN from any further activities with the securities industry after multiple, serious allegations of intentionally overstating client account values, which masked significant…