Broker Theft

Leona Lynn Parsons Sentenced to Three Years for Stealing from Senior Clients

On September 5, 2018, the San Diego Union Tribune reported that former financial adviser Leona Lynn Parsons (Leona Parsons) was sentenced to three years in prison.  Parsons’ sentence follows her pleading guilty on August 8 to charges that she stole about $300,000 from four of her senior clients. Parsons reportedly either borrowed large sums from

Read More »

Settled Claims Implicating Ex-Broker John Greg Schmidt Exceed $1.7 Million

According to FINRA public records, former Dayton, Ohio based broker John Greg Schmidt (Greg Schmidt or John Gregory Schmidt) has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms.  Wells Fargo discharged Schmidt in November 2017. Between October 2007 and January 2018, customers filed private arbitration claims

Read More »

Former UBS Broker John Cochran Maccoll Charged with Embezzling Clients’ Money

If you or someone you know invested with John Cochran Maccoll, call Marquardt Law Office LLC at (312) 945-6065 to receive a free consultation about investment recovery options. Marquardt Law Office LLC previously reported UBS Financial Services Inc. discharged Maccoll amid its investigation he stole clients’ funds and had several customer claims.  Maccoll previously worked

Read More »

Invest with Holly Marie Maurer or Ernest Romer? The CoreCap Brokers Have Eighteen Combined Pending Customer Disputes

According to FINRA public records, CoreCap Investments broker Holly Marie Maurer has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Holly Maurer’s customers filed the claims between August 2017 and March 2018.  All claims are pending and request damages from $110,000 to $250,000.  The customer claims

Read More »

Bradley Everett Gardner, Ex-LPL Broker, Accused of Theft by FINRA

On June 5, 2018, FINRA announced that it permanently barred former securities broker Bradley Everett Gardner 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 Gardner after

Read More »

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

Read More »

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

Read More »

Leon Vaccarelli Indicted on Criminal Charges for Alleged Theft

On May 14, 2018, the Securities and Exchange Commission (SEC) announced that federal prosecutors filed federal criminal charges against Leon Vaccarelli. A federal grand jury in New Haven, Connecticut returned a 12-count criminal indictment against Vaccarelli for fraud and money-laundering.  The charges are in connection with allegations Vaccarelli defrauded individuals out of more than $1

Read More »

James Knee, Ex-Voya and Ameriprise Broker, Barred from Securities Industry

On May 9, 2018, FINRA announced that it barred former securities broker James Knee 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 Knee because he declined to appear to

Read More »

Share Page

Share on twitter
Share on facebook
Share on google
Share on linkedin
Share on email
Share on print

Search MarquardtLawOffice.com

Search Posts by Category

Send message to set up

Recent Posts

Scroll to Top