Investment Misconduct Blog

John Douglas Wade, Ex-U.S. Bankcorp Broker, Accused of Theft by Securities Regulator

On May 23, 2018, FINRA announced that it permanently barred former securities broker John Douglas Wade from associating with firms registered with FINRA in any capacity.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Wade  because

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Kevin Edward Looser Suspended for Allegedly Selling Customers Unapproved Securities in His Firm

On June 4, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) announced it suspended Kevin Edward Looser for from associating with firms registered with FINRA for four months.  FINRA registers and regulates securities brokers and brokerage firms. FINRA said it suspended Looser after investigating him and finding that he participated in fourteen private securities transactions

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Christopher Todd Wendel, Ex SA Stone Broker, Barred During Investigation of Sales of Ponzi Investment

On June 1, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) permanently barred Christopher Todd Wendel from associating with firms registered with FINRA.  FINRA registers and regulates stockbrokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Wendel because he engaged in unapproved private securities sales and gave

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James Lyons’s Former Clients May Still Have Options to Recover Investment Losses

Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with James Edward Lyons.  On June 4, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former Raymond James and Morgan Keegan broker from associating with firms registered with FINRA.  FINRA registers and regulates securities brokers and brokerage firms.

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Raul Juan Escudero Villeta Has Nineteen Disclosed Customer Disputes

According to Financial Industry Regulatory Authority, Inc. (FINRA) public records, broker / investment advisor Raul Juan Escudero Villeta (“Raul Escudero”) has nineteen disclosed customers disputes.  FINRA registers and regulates brokers and brokerage firms. Raul Escudero’s customers filed the claims between January 2015 and April 2018.  Five of the claims resulted in collective settlements to customers

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Dallas York Barred During Investigation into Whether He Withdrew Customer Funds

FINRA recently barred former securities broker Dallas York from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. FINRA announced the bar in its order publicly released on April 16, 2018.  FINRA stated in the order that it barred York because he failed to

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Windsor Street Capital Accused by Regulator of Facilitating Fraud

On May 7, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) publicly released a complaint that it filed against Windsor Street Capital, LP (formerly known as Meyers Associates, L.P.) and four of its registered representatives.  FINRA registers and regulates brokers and brokerage firms. The complaint names Windsor and its associated persons Bruce Meyers, Imitaz (Raana)

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Customers of Kevin Yang, Ex-Morgan Stanley Broker, May Have Options to Recover Losses

Kevin Yang’s customers may have options to recover losses suffered while investing with the former Morgan Stanley securities broker and investment advisor.  Yang has been the subject of recent regulatory sanctions and customer arbitration claims. On March 7, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) suspended and fined Yang after finding he placed unauthorized

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Ron Jason Ison’s Former Clients May Still Have Options to Recover Investment Losses

Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with Ron Jason Ison.  On April 13, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former Buckman, Buckman & Reid, Inc. broker from associating with firms registered with FINRA.  FINRA registers and regulates securities brokers and brokerage firms.

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James A. Nickels of Manitowoc, Wisconsin Indicted for $3 Million Ponzi Scheme

The U.S. Attorney’s Office announced on May 23, 2018 that a federal grand jury in the Eastern District of Wisconsin indicted James A. Nickels of Manitowoc, Wisconsin on eighteen counts of wire fraud and one count of money laundering. Prosecutors said Nickels was indicted for allegedly operating his company, The Fiscal Concierge LLC, as a

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