Pavel Shklyar Former J.P. Morgan Broker Barred by FINRA

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Pavel Shklyar was accused of violating industry rules and regulations. FINRA was investigating Shklyar for his participation in potential private securities transactions, and he did not provide requested documents to FINRA. This resulted in an automatic bar…

Broker Todd Kimm Entered Into an AWC for Alleged Unsuitable Trades

According to his recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Todd Kimm, a former broker with Merrill Lynch, allegedly engaged in unsuitable short-term trading in a customer’s account with respect to closed-end funds and mutual funds. He also allegedly recommended over 100 unsuitable short-term trades of long-term…

Gabriel Hynes Entered Into An AWC With FINRA: What Investors Can Do

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Gabriel Hynes allegedly purchased securities in four different companies through private offerings conducted outside the scope of his employment with NYLife. He also failed to give NYLife notice of these transactions. This occurred from 2008 through May…

Tyson Palyka; JJB Hilliard; Trenton, Michigan

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Tyson Palyka, a former registered representative with JJB Hilliard, was accused of engaging in discretionary trading when he effected securities transactions in the account of three customers. Allegedly, Mr. Palyka used discretion on an undetermined number of…

Russell Sadler; LPL Financial FINRA Acceptance, Waiver and Consent (AWC)

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Russell Sadler was fined $25,000 and suspended from the industry for 12 months. According to his AWC, Sadler, while registered with LPL, purchased securities issued by a company that proposed to build a movie studio in Plymouth,…

BCG Securities Justin Wine of Cherry Hill, New Jersey Fined $12,500 for Securities Violations

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Justin K. Wine, a former registered representative with LPL Financial, was fined $12,500 and suspended from the industry for two months. According to the AWC, Wine participated in private securities transactions with DS, a micro-loan company based…