Category Archives: Selling Away
Palm Beach County Broker Fined, Suspended for One Year for Selling Away
Alexander Jon James (CRD #5630825) is a previously registered broker with more than ten years of experience in the securities industry. From January of 2012 to May of 2017, Mr. James worked at Voya Financial Advisors in Palm Beach Gardens, Florida. Subsequently, he was associated with Allstate Financial Services in West Palm Beach. On… Read More »
Palm Beach County Broker Barred After Refusing to Cooperate With ‘Selling Away’ Investigation
Antonio Gutierrez Puente (CRD#: 2695224) is a former registered broker and investment adviser. From February 1999 to September 2018, Mr. Puente was a representative at Valic Financial Advisors, Inc. and based at a branch location in Miami. In the fall of 2018, this broker was discharged by Valic Financial following the firm’s internal investigation… Read More »
FINRA Complaint: Miami-Dade County Broker Improperly Engaged in Improper Outside Business Activities (OBAs)
Robert Henderson (CRD#: 1160413) is a previously registered securities broker. From December of 2010 to November of 2019, Mr. Henderson was a representative of IFS Securities, where he was based out of a branch office in Miami Lakes, Florida. Previously, this financial advisor was also associated with First American Capital and Trading Corp. and… Read More »
Florida Broker Barred After He Failed to Cooperate With an Investigation Into Private Securities Transactions
Bobby Wayne Coburn (CRD#: 1464789) is a previously licensed securities broker. From February of 2009 to April of 2019, this financial professional was a representative of Securities America, Inc.—working at a branch office in Fort Meade, Florida. Earlier this year, Mr. Coburn was discharged by Securities America for allegedly soliciting investment from several of… Read More »
