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Investment Misconduct Blog

FINRA Sanction

Dallas York Barred During Investigation into Whether He Withdrew Customer Funds

Adam J. Marquardt May 31, 2018

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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Windsor Street Capital Accused by Regulator of Facilitating Fraud

Adam J. Marquardt May 29, 2018

On May 7, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) publicly released a complaint that it filed against Windsor Street Capital, LP (formerly known as Meyers Associates, L.P.) and four of its registered representatives.  FINRA registers and regulates brokers and brokerage firms. The complaint names Windsor and its associated persons Bruce Meyers, Imitaz (Raana)

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Customers of Kevin Yang, Ex-Morgan Stanley Broker, May Have Options to Recover Losses

Adam J. Marquardt May 27, 2018

Kevin Yang’s customers may have options to recover losses suffered while investing with the former Morgan Stanley securities broker and investment advisor.  Yang has been the subject of recent regulatory sanctions and customer arbitration claims. On March 7, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) suspended and fined Yang after finding he placed unauthorized

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Ron Jason Ison’s Former Clients May Still Have Options to Recover Investment Losses

Adam J. Marquardt May 26, 2018

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

Adam J. Marquardt May 24, 2018

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

Adam J. Marquardt May 23, 2018

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

Adam J. Marquardt May 23, 2018

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

Adam J. Marquardt May 23, 2018

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

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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