Former J.P. Morgan Securities advisor David Beston agreed to pay a $5,000 fine and serve a five-month suspension from association with any FINRA member firm in any capacity.
Tagged with "FINRA"
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FINRA Suspends Multiple Advisors for Taking Client Information
Posted on November 30th, 2020 at 3:07 PM
Daniel Hee, a former advisor at UBS Wealth Management USA, and Joseph D. Olheiser, a former Morgan Stanley advisor, have each been ordered by FINRA to pay a $5,000 fine and serve a ten-day suspension from association with any FINRA member firm in any capacity.
FINRA Suspends Former Stifel Advisor for UIT Violations
Posted on November 25th, 2020 at 2:30 PM
Kurt J. Gunter, a former Stifel advisor, has agreed to pay a $10,000 fine and serve a three-month suspension from association with any FINRA member firm in any capacity.
Respondent in FINRA Enforcement Arbitration Seeks Injunction to Stop Remote Hearing
Posted on November 19th, 2020 at 9:19 AM
Alpine Securities Corp, a respondent in a FINRA Enforcement arbitration, has filed a lawsuit in federal court in Utah seeking to enjoin FINRA from holding an enforcement arbitration hearing virtually, Law360 reported.
FINRA Discusses Regulatory Focus for Registered Index-Linked Annuities
Posted on November 12th, 2020 at 2:37 PM
At a recent conference, FINRA CEO Robert Cook provided some guidance on registered index-linked annuities (“RILAs”), according to an article in ThinkAdvisor.
FINRA Suspends Former Wells Fargo Advisor
Posted on November 11th, 2020 at 8:42 AM
Former Wells Fargo advisor, David R. Oakes, agreed to serve a six-month suspension from association with any FINRA member firm in any capacity.
FINRA Adopts New Rule for Advisors Holding a Position of Trust
Posted on November 3rd, 2020 at 9:24 AM
The Financial Industry Regulatory Authority (“FINRA”) has adopted a new rule that will limit an advisor’s ability to hold a “position of trust” for a client, such as a power or attorney, trustee or executor.
FINRA Suspends Former Merrill Lynch Advisor
Posted on November 2nd, 2020 at 11:27 AM
Former Merrill Lynch advisor, Andrew LeBlanc II, agreed to pay a $20,000 fine and serve a six-month suspension from association with any FINRA member firm in any capacity.
FINRA Suspends Former SagePoint Financial Advisor
Posted on October 28th, 2020 at 3:16 PM
Former SagePoint Financial advisor, Troy R. Baily, agreed to pay a $5,000 fine and serve a six-month suspension from association with any FINRA member firm in any capacity.
Another Advisor Barred for Failure to Cooperate with FINRA Investigation
Posted on October 22nd, 2020 at 3:49 PM
Sean Michael Refsnider, a former registered representative at Ameriprise, has agreed to a bar from association in all capacities with any FINRA member.
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