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…
FINRA has suspended broker Scott Niekamp from the securities industry for three months for engaging in two outside business activities without providing prior written notice to his firm, Northwestern Mutual Investment Services, LLC. Additionally, Niekamp loaned money to a firm customer in violation of the firm’s written supervisory procedures and…
FINRA has suspended former Cambridge Investment Research, Inc. broker Keith Holcomb from the securities industry for 6 months for borrowing money from a customer without notifying or receiving approval from his firm. Holcomb was also fined $7,500. The conduct is alleged to have taken place while Holcomb was registered with…