According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Adam Veron (Veron), in February 2017, was terminated by his then employer Questar Capital Corporation (Questar). Questar stated that Veron was terminated due to undisclosed outside business activities and the sale of unapproved products. Thereafter, in August…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Minish “Joe” Hede (Hede), in April 2017, was terminated by his then employer Paulson Investment Company, LLC (Paulson Investment) subsequent to the initiation of customer arbitration claim alleging fraud, negligence and unjust enrichment and for failure to…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Peter Butler (Butler), in January 2017, was terminated by his firm Ameriprise Financial Services, Inc. (Ameriprise) over claims by the firm that Butler “resigned while on suspension pending termination for violation of company policy related to selling…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor William Wyman (Wyman), in January 2017, was barred by FINRA over his failure to respond to FINRA inquiries. FINRA’s inquiries came after a customer complained about a private securities transaction. Wyman’s employment with his brokerage firm, Ameriprise…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Paul Smith (Smith), in June 2017, was barred by FINRA for failing to provide documents and information concerning private securities transactions. Prior to the FINRA bar Smith was terminated by his firm Bolton Global Capital (Bolton Global)…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Walter Starghill (Starghill), in March 2017, was discharged by brokerage firm Lincoln Investment over allegations of Starghill’s “participation in a private securities transaction in violation of Firm policy.” In the industry all securities transactions, private investments, loans,…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael DeBoer (DeBoer), in May 2016, was barred by FINRA over allegations of DeBoer, in June 2010, while registered with brokerage firm Dalton Strategic Investment Services Inc. (Dalton Strategic), DeBoer recommended two customers invest $200,000 in securities…
The investment lawyers of Gana Weinstein LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) resulting in a bar of broker Norman Ferra Jr. (Ferra) who was previously registered with International Assets Advisory, LLC working out of the Tampa, Florida office. Ferra has 20 years of…
The investment lawyers of Gana Weinstein LLP are investigating Ameriprise Financial Services, Inc.’s (Ameriprise) termination of former broker Stephen Mosley (Mosley) working out of the Lake Havasu City, Arizona office. Ameriprise terminated Mosley in November 2016. According to the broker’s Financial Industry Regulatory Authority (FINRA) BrokerCheck filing the firm stated…
The investment lawyers of Gana Weinstein LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) resulting in a bar of broker Norman Ferra Jr. (Ferra) who was previously registered with International Assets Advisory, LLC working out of the Tampa, Florida office. Ferra has 20 years of…