According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Westport Capital Markets broker Emil Skyba violated securities laws. Skyba was barred from the industry because he failed to respond to an investigation against him. This results in an automatic bar. According to his online, FINRA BrokerCheck…
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…
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Norris Roberts Jr. was barred from the industry for failing to show up at a hearing against him. He was being investigated for suspicious activity that led federal agents to uncover an illegal gambling operation in Arkansas.…
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…
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Jermaine Joseph violated securities laws and PFS Investments firm policies. Allegedly, from June 2015 until March 2016, Mr. Joseph comingled more than $30,000 worth of customer funds with his own funds by depositing a check from the…
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…
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Larry Wolfe was accused of exercising discretion in the accounts of 39 customers without obtaining prior written authorization from the customers or written approval of the accounts as discretionary from his member firm, HJS. This is against…
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…
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,…
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…