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Broker Misconduct

Peter Holler, Ex-Securities Service Broker, Suspended for Two Years for Selling Securities of Woodbridge Fund Ponzi Scheme

On May 21, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) suspended Peter Holler from associating with firms registered with FINRA for two years and fined him $10,000.  FINRA—the self-regulator of brokers and brokerage firms—announced the sanction in a Letter of Acceptance, Waiver, and Consent (AWC). FINRA alleged that, between September 2016 and August 2017,

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

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

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

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

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

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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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

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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

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Brandon Carl Rudolph, Ex-Broker, Barred During Investigation into His Possible Private Securities Transaction

On May 9, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred Brandon Carl Rudolph from associating in any capacity with firms registered with FINRA.  FINRA registers and regulates securities brokers and brokerage firms. FINRA announced the bar in a Letter of Acceptance, Waiver and Consent (AWC).  In the AWC, FINRA said it barred Rudolph

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Stacy E. Cheney-Jamison, Ex-CUNA and IFS Broker, Accused of Theft by Investors

Update: On June 19, 2018, the Securities and Exchange Commission (SEC) filed charges against Christopher Parris and United RL Capital Services, as well as four other individuals and Percipience Global Corporation and First Nationale Solution, accusing them of being involved in a massive Ponzi scheme bilking 637 investors out of $102 million. On May 8,

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