Edward L. Turley has been barred from the financial services industry after failing to provide on-the-record testimony requested by FINRA. Turley still faces over $70M[...]
Broker / Advisor Investigations
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INVESTORS: G.A. Repple & Company broker Michael William Mandarino was named in a customer dispute alleging that he recommended purchases of GWG Holdings Bonds. Michael[...]
INVESTORS: Former Lawson Financial Corporation broker Pamela Denise Lawson was suspended by FINRA after she failed to comply with an arbitration award or settlement agreement[...]
INVESTORS: Former MML Investors broker Amanda Yvonne Berry was barred by FINRA following a failure to respond to FINRA’s request for information. Amanda Yvonne Berry[...]
INVESTORS: Former LPL Financial broker David Del Rio was barred by FINRA following a failure to respond to FINRA’s request for information. David Del Rio[...]
INVESTORS: Former Coastal Equities broker Robert Charles Mehlin was suspended by FINRA following allegations of exercising discretion in customer accounts without prior authorization. Robert Charles[...]
INVESTORS: Former Hightower Securities broker David Lyle Bahnsen was named in a customer dispute alleging he recommended unsuitable investments. David Lyle Bahnsen (CRD: 4445322) was[...]
INVESTORS: Trust Investment Services broker William Patrick Gamble was named in a customer dispute alleging unauthorized trading. William Patrick Gamble (CRD: 1524488) is registered as[...]
INVESTORS: NI Advisors broker Suihock Goy was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Suihock Goy (CRD: 2821380)[...]
INVESTORS: Former UBS Financial Services broker John Anthony Sommo was barred after he failed to respond to FINRA requests for information. John Anthony Sommo (CRD:[...]