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

Tag Archives: Unsuitable Investments Miami

Palm Beach County Broker Barred for Failure to Cooperate With a FINRA Investigation

By Staff |

According to information released by the Financial Industry Regulatory Authority (FINRA), Lisa J. Lowi (CRD #1347790) has been permanently barred from the securities industry. In late 2017, FINRA requested on-the-record testimony from Ms. Lowi as part of an investigation it was conducting into claims that she had recommended unsuitable investments to customers. Investigators report… Read More »

Florida Broker Suspended for Unsuitable Investment Recommendations

By Staff |

The Financial Industry Regulatory Authority (FINRA) recently announced that Daniel Joseph Hushek III (CRD #4250117), a registered broker based in Sarasota, Florida, has been suspended from the securities industry for a period of fifteen months. According to investigators, Mr. Hushek failed to adequately supervise a representative who was recommending unsuitable investments to clients. Full… Read More »

South Florida Financial Advisor Pushed Clients Into Unsuitable Investments

By Staff |

Christopher Robert Hickman (CRD No. 3267599), a general securities broker from Delray Beach, Florida, has been suspended from the industry for five months, fined $5,000 and ordered to pay more than $115,000 in financial restitution to six different investors. Without admitting to or denying any wrongdoing, Mr. Hickman, who is employed at Cetera Investments… Read More »

Litigation

Fort Lauderdale Broker Permanently Barred for Unsuitable Investment Recommendations, Unauthorized Trading

By Staff |

Recently, FINRA’s Department of Enforcement permanently barred Florida broker Scott Allen Sibley (CRD#: 1523981) from the securities industry. Mr. Sibley was accused of recommending unsuitable investments to at least 10 different clients and engaging in unauthorized trading on another client’s brokerage account. Without admitting or denying any of the allegations, Mr. Sibley consented to… Read More »

Money

Boca Raton Brokerage Firm Fined $210,000, Ordered to Offer Affected Customers ‘Rescission’

By Staff |

Recently, FINRA’s Department of Market Regulation announced that FMSbonds, Inc. (CRD #7793), a broker-dealer based in Boca Raton, Florida, consented to findings that it improperly sold municipal bonds to its customers in amounts below the mandatory minimum denominations. As a result of this misconduct, many of the firm’s clients were stuck in disadvantaged, illiquid… Read More »

Fraud5

Florida Broker Suspended for One Year for Professional Misconduct

By Staff |

Without admitting or denying any wrongdoing, Matthew Meehan (CRD#: 4320603) has consented to the sanctions that were brought by FINRA’s Department of Enforcement. According to the complaint (Case reference No. 2016050114901), the Winter Garden-based broker has been suspended for one year and ordered to pay a $15,000 fine and $21,813 in financial restitution to… Read More »

InvFraud4

Massachusetts Financial Adviser Forged Documents, Sold Unsuitable Investments

By Staff |

On December 1st, 2016, the Enforcement Section of the Massachusetts Securities Division filed an administrative complaint against former LPL Financial broker Roger S. Zullo. The complaint alleges that Mr. Zullo, a Boston-based financial adviser, forged sensitive financial documents and intentionally pushed his clients into unsuitable investments. Authorities allege that he did this simply to… Read More »

InvestFraud

FINRA Takes Disciplinary Action Against New Jersey Financial Adviser

By Staff |

The Financial Industry Regulatory Authority (FINRA) recently suspended Alex Etter for two years for misconduct he committed while he was a registered financial adviser. According to investigators, Etter put his personal financial interests and the interests of his firm ahead of that of his clients. In doing so, his brokerage company netted more than… Read More »

  • Super Lawyers
  • AV Preeminent
  • Million Dollar Advocates Forum
  • Judicial Edition 2019
Location

Office
Location

1 SE 3rd Ave #1200
Suntrust International Center
Miami, Florida 33131

Telephone: 305-372-9700
Fax: 305-372-8265

Connect
With Us

  • Facebook
  • Twitter
  • LinkedIn

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

No content on this site may be reused in any fashion without written permission from www.Carlson-Law.net

MileMark Media - Practice Growth Solutions

© 2015 - 2019 Carlson & Associates, P.A. All rights reserved. This law firm website is managed by MileMark Media.