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Search Results: unauthorized trading
Results 30-40 of about 96
Date: September 23, 2019
According to FINRA, Boggs has three complaints on his official record all involving unauthorized transfers from client accounts. Merrill wisely sought resolution of these matters and it appears none have actually gone to hearing.
Date: August 20, 2019
According to InvestmentNews , IFS Securities, a broker-dealer based in Atlanta, Georgia, may be facing at least $10M in losses after Keith Wakefield, the firm’s ex-municipal securities principal, allegedly executed unauthorized trades and shorted Treasury bonds. He was fired earlier ...
Date: August 9, 2019
Ex-broker Michael Garris has been suspended for a year after the self-regulatory organization found that he made 26 unauthorized trades in the account of a client who he knew had died. Garris was fired by Wells Fargo over a year ...
Date: June 3, 2019
Former Securities America Broker Is Accused of Unsuitable and Unauthorized Trades Michael Bastardi, an ex- Securities America broker , is barred by the Financial Industry Regulatory Authority (FINRA) after he failed to give the regulator the information it requested for ...
Date: April 22, 2019
The self-regulatory authority (SRO) contends that Schwartz, who is no longer employed in the securities industry, made 256 trades in these accounts without first getting the customers’ permission to execute the transactions. Along with other trades he made in these ...
Date: February 15, 2019
As part of his plea, he admitted to lying to Merrill about telling clients about their account options, and, at certain times, making trades for them without getting their approval.
Date: February 6, 2019
The two claimants, who are former coworkers, alleged excessive trading, fraud, and unauthorized withdrawals and fund transfers. They accused one of the financial firm’s former registered representatives of stealing money out of their Capitol accounts. The financial rep. whom they ...
Date: January 10, 2019
Last month, FINRA announced that it had filed a lawsuit against Ami Forte, who is accused of making unauthorized trades in the account of now deceased Home Shopping Network co-founder Roy M. Speer.
Date: August 30, 2018
(Cloutier), a former Wells-Fargo (WFC) broker based in the Dallas area of Frisco, Texas, after he allegedly tried to make an unauthorized trade and requested a loan from a client. Cloutier, who had worked at the firm for seven years, ...
Date: August 14, 2018
Securities Fraud Allegations Against Former Merrill Lynch/RBC Financial Adviser Could Lead to More Unauthorized Trading and Failure to Supervise Claims
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