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Investment Misconduct Blog

May 23, 2018

Leona Lynn Parsons Barred During Investigation of Whether She Kept Customer Funds

Adam J. Marquardt May 23, 2018

On May 23, 2018, FINRA announced that it barred former securities broker Leona Lynn Parsons from associating with firms registered with FINRA.  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 Parsons because she declined to provide

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Herbert Voss, Jr. Barred During Unauthorized Trading Investigation

Adam J. Marquardt May 23, 2018

Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with Herbert Voss, Jr.  On May 23, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the Stockcross Financial Services, Inc. broker and investment advisor from associating with firms registered with FINRA in any capacity.  FINRA registers and regulates brokers

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Pavel Shklyar’s Former Clients May Still Have Options to Recover Investment Losses

Adam J. Marquardt May 23, 2018

Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with Ron Jason Ison.  On February 28, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former J.P. Morgan Securities LLC broker from associating with firms registered with FINRA.  FINRA registers and regulates securities brokers and brokerage firms. In

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