Broker Misconduct

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

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Alex G. Herrera Former Clients May Still Have Options to Recover Investment Losses

Marquardt Law Office LLC is interested in speaking with individuals who lost money while investing with Alex G. Herrera. On August 8, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former UBS securities broker and investment adviser from associating with firms registered with FINRA.  FINRA registers and regulates brokers and brokerage firms. In

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Invest in United RL, Percipience, or First Nationale? You May Be Able to Recover Your Losses.

Marquardt Law Office has received calls about losses in United RL Capital Services and Percipience Global Corporation.  The firm is interested in speaking with any individuals whose broker or investment advisor was involved in their investing in these companies or First Nationale Solution. On June 19, 2018, the Securities and Exchange Commission (“SEC”) filed federal

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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

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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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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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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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