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Miami Investment Fraud Attorney
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Tag Archives: Broker Fraud

Miami Securities Broker Barred for Selling Unregistered Securities

By Staff |

On June 12th, 2018, the Financial Industry Regulatory Authority (FINRA) announced that Harold Lee Connell (CRD#: 1482623), a registered broker from Miami, Florida has been permanently barred from the securities industry. From 2001 to 2017, Mr. Connell served as the CEO and President of CP Capital Securities, a broker-dealer that was headquartered in Miami…. Read More »

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Florida Broker Suspended for Eighteen Months for Undisclosed Outside Business Activities

By Staff |

Recently, FINRA’s Department of Enforcement announced an eighteen month suspension of William Campbell Webb (CRD# 1621426), a Florida broker who was most recently employed at the Panama City office of Raymond James & Associates. Mr. Webb was also assessed a deferred fine of $15,000 for his misconduct. The case against Mr. Webb involved multiple,… Read More »

BrokerFraud

Florida Investment Broker Suspended for Six Months, Fined $20,000

By Staff |

On April 11th, 2017, FINRA’s Department of Enforcement announced that registered financial adviser John Patrick Wheeler (CRD#: 1068503) has been suspended for six months and fined $20,000 for professional misconduct. Mr. Wheeler was most recently employed at Raymond James Financial Services, Inc., at an office located in Clearwater, Florida. Without admitting or denying any… Read More »

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Florida Broker Permanently Barred From the Securities Industry

By Staff |

On March 24th, 2017, Norman Kirby Farra Jr. was expelled from the securities industry for his failure to cooperate with an official investigation. According to industry records, which can be accessed by using FINRA’s free BrokerCheck tool (CRD#: 2131930), Mr. Farra was most recently employed at International Assets Advisory, LLC, at its location in… Read More »

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