FINRA has barred a former broker from Stifel, Nicolaus & Company, Incorporated, Robert Head, of unauthorized trading for his client.
I want to thank you for your excellent professional representation. It was greatly appreciated.
FINRA has barred a former broker from Stifel, Nicolaus & Company, Incorporated, Robert Head, of unauthorized trading for his client.
The Financial Industry Regulatory Authority (FINRA) has levied a $15,000 fine and a 21-month suspension against a former advisor, Jeffrey W. Davidson, based in Austin, Texas. Davidson engaged in fundraising activities that raised over $10 million for a fitness company owned by him and his wife.
A 46-year industry veteran from Braintree, Massachusetts, Timothy W. Leveroni, has settled a disciplinary matter by the Financial Industry Regulatory Authority (FINRA) for falsifying signatures, per a settlement agreement known as an Acceptance Waiver and Consent (“AWC”).
The Securities and Exchange Commission (SEC) has filed fraud charges against Jesus Rodriguez, accusing him of misappropriating nearly $3.5 million from at least 10 brokerage account holders and advisory clients.