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Investment Misconduct Blog

Margin Accounts

Michael P. Spolar, Ex-Broker, Has Ten Customer Complaints and Was Recently Denied Ohio License

Adam J. Marquardt May 17, 2018

On March 29, 2018, the State of Ohio Division of Securities denied an application for a securities license to former LPL Financial LLC and International Assets Advisory LLC broker, Michael P. Spolar.  The decision comes in the wake of ten customer claims accusing Spolar of misconduct, two broker-dealers discharging him, and a securities regulator suspending

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Emil J. Skyba Barred During Investigation of His Possible Alternation of Customer Forms

Adam J. Marquardt May 16, 2018

On May 11, 2018, FINRA announced that it barred former securities broker Emil J. Skyba 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 Skyba because he declined to provide

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Stuart Pearl, Associate of David A. Noyes and Former Ameriprise Broker, Sanctioned by FINRA

Adam J. Marquardt February 26, 2018

According to public records released by the Financial Industry Regulatory Authority (FINRA), Stuart Pearl was sanctioned in October 2017 by FINRA for allegedly placing discretionary trades to liquidate a senior investor’s investments without obtaining prior written authorization to place those trades.  A Letter of Acceptance, Waiver, and Consent (AWC) states Pearl agreed to a fine

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