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
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
According to FINRA public records, barred broker Brian Lamont Royster (Brian Royster) has three disclosed customer disputes. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Between October 2013 and January 2018, customers filed disputes seeking damages for Brian Royster’s alleged misconduct. Allegations include he recommended and misrepresented annuities that were
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
According to FINRA public records, former broker Gregory Alan Levine (Greg Alan Levine) has five disclosed customer disputes. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Levine between June 2015 and March 2018. All claims have settled for payouts ranging from $2,589 to $155,000. The
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
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
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
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
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.
