According to FINRA Arbitration Award 14-00829, while a broker with Morgan Stanley, Kim Isaacson lied to a client regarding the value of the client's investment portfolio. In the…
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According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Adam Estes consented to a 15-month suspension from the securities industry and a $15,000 fine. FINRA…
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According to the FINRA Department of Enforcement complaint, Christopher Ariola recommended risky investments in gold and energy stocks to elderly customers that were unsuitable to their financial circumstances,…
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Pursuant to its Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Financial West Group assented to a $40,000 fine and censorship. The AWC states that Financial West Group failed…
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According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Lawrence Roberson was permanently barred from the securities industry for recommending and selling a nonexistent bond debenture…
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According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Nathan Silva was permanently barred from the securities industry for not cooperating with a FINRA investigation.…
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