Recent Posts in August, 2017

• Kim Dee Isaacson Permanently Barred by FINRA

  Aug 31, 2017
  Former Broker Kim Dee Isaacson (CRD# 855618) has been barred by FINRA in a settlement over fraudulent misrepresentation and omissions. Isaacson began ...
  Posted By Meyer Wilson
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• Former Edward Jones Broker James Vincent Marino Accused of Theft from Client

  Aug 30, 2017
  Former Edward Jones financial advisor James Vincent Marino (CRD# 6192459) has been investigated by the Financial Industry Regulatory Authority (FINRA) ...
  Posted By Meyer Wilson
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• Chad D. Hornday Accused of Selling Away, Barred by FINRA

  Aug 29, 2017
  Former California broker Chad D. Hornday (CRD# 2776038) has recently been permanently barred by FINRA and is no longer able to work as a financial ...
  Posted By Meyer Wilson
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• Broker James Edward Lyons Accused of Unauthorized Trading

  Aug 28, 2017
  Former Raymond James broker, James Edward Lyons, was discharged from Raymond James after client allegations of unauthorized trading in April of 2017. ...
  Posted By Meyer Wilson
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• Former Broker Bryan Wayne Anderson in Prison, Barred by SEC

  Aug 23, 2017
  Alabama-based former broker Bryan Wayne Anderson is serving more than seven years in federal prison and has been barred by the Securities and Exchange ...
  Posted By Meyer Wilson
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• Pennsylvania Broker Fined $200,000 for Selling Unsuitable Investment

  Aug 22, 2017
  Pennsylvania stockbroker Austin Dutton has reportedly been fined $200,000 by the Pennsylvania Department of Banking and Securities for selling at ...
  Posted By Meyer Wilson
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• Former Morgan Stanley Broker Peter Doyle Barred by FINRA

  Aug 21, 2017
  Former Morgan Stanley broker Peter Doyle is barred from associating with any FINRA member firm in any capacity as a part of a Letter of Acceptance, ...
  Posted By Meyer Wilson
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• Former Broker Donald A. DeVito II Accused of Churning and Unauthorized Trading

  Aug 17, 2017
  Donald A. DeVito II, a former Wells Fargo stockbroker, has been accused of churning and unsuitability in a recent customer complaint filed in May ...
  Posted By Meyer Wilson
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