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Securities Arbitration Lawyer Blog

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Deborah Herrmann, Formerly with Transamerica Financial Advisors, BARRED by FINRA – Wheaton, IL

FINRA has barred former Transamerica Financial Advisors broker Deborah Herrmann from the securities industry. Herrmann consented to the sanction and to the entry of findings that she failed to provide documents requested by FINRA during an investigation initiated after receiving a tip. The FINRA findings stated that Herrmann made a…

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Iorio Altamirano LLP Files GPB Automotive Claim Against American Capital Partners

Iorio Altamirano LLP, a leading securities arbitration law firm, has filed a case through the Financial Industry Regulatory Authority (FINRA) against American Capital Partners. The claim, which Iorio Altamirano LLP filed on behalf of an investor in the GPB Automotive Portfolio, LP fund, seeks to recover investment losses as a…

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Purshe Kaplan Sterling Broker Lee Taylor BARRED by FINRA – Skippack, PA

FINRA has barred Purshe Kaplan Sterling Investments (PKS) broker Lee Taylor from the securities industry. Mr. Taylor consented to the sanctions and to the entry of findings that he refused to produce documents and information requested by FINRA in connection with its investigation into his potential undisclosed private securities transactions…

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FINRA Files Enforcement Action Against Former Edward Jones Broker Alan Price – Frankfort, IN

FINRA’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Alan Price for borrowing $150,000 from a 72-year-old Edward Jones customer in violation of firm policies. If you have suffered investment losses with Alan Price or Edward Jones, contact New York securities arbitration lawyers Iorio Altamirano LLP…

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Robert Joseph Boyer III, Formerly with MML Investors Services, LLC, BARRED by FINRA – Holyoke, MA

FINRA has barred former MML Investors Services, LLC broker Robert Joseph Boyer III from the securities industry. Mr. Boyer consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA related to a matter that originated from a Form U4…

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David Wells, Formerly with Fifth Third Securities, Inc., BARRED by FINRA – Chicago, IL

FINRA has barred former Fifth Third Securities, Inc. broker David Wells from the securities industry. Mr. Wells consented to the sanction and to the entry of findings that he failed to appear for on-the-record testimony or to produce documents requested by FINRA in connection with its investigation into his potential…

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Jerry Rice, Formerly with Raymond James, Suspended by FINRA – Tinton Falls, NJ

FINRA has suspended former Raymond James broker Jerry Rice from the securities industry for six months. Mr. Rice consented to the sanctions and to the entry of findings that he circumvented Raymond James’ procedures prohibiting, without the firm’s approval, representatives from receiving gifts from customers and being named as a…

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Whistleblower Award Alert:  The SEC Awards $36 Million to Whistleblower  

The Securities and Exchange Commission (“SEC”) announced a whistleblower award of roughly $36 million to a whistleblower that provided information to the SEC on an illegal scheme. The information led to successful regulatory enforcement actions by the SEC and another federal agency. In total, $161 million has been awarded to…

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Robert Nyilas, Formerly with Advisory Group Equity Services, BARRED by FINRA – Westport, CT

FINRA has barred former Advisory Group Equity Services broker Robert Nyilas from the securities industry. Mr. Nyilas consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into whether he made unsuitable securities recommendations…

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Ronald Daley, Formerly with W&S Brokerage Services, Inc., BARRED by FINRA – West Chester, OH

FINRA has barred former W&S Brokerage Services, Inc. broker Ronald Daley from the securities industry. Mr. Daley consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony or to produce documents and information requested by FINRA in connection with its investigation into…

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