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Tag Archives: Barred
Barred Broker Anthony Cottone The Subject Of Four Disclosures
Anthony Cottone (CRD#: 4394861) is a permanently-barred broker and is the subject of four disclosures on his FINRA BrokerCheck report, which includes two employment separations after allegations and two regulatory disclosures. From 2002-2017, Anthony Cottone worked for 10 different firms … Continue reading →
Posted in Securities Law
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Tagged Anthony, Barred, Broker, Cottone, DISCLOSURES, FOUR, Subject
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E&O Coverage Barred for Options Trading Losses
In a ruling that turned on the interpretation of a technical financial term, a federal district court concluded that the Options Trading exclusion in an investment firm’s E&O policy precluded coverage for investor claims arising out of a financial transaction … Continue reading →
Posted in Corporate Law
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Tagged Barred, coverage, E&O, Losses, options, Trading
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Former Ameritas Broker Kristian Gaudet Barred for Converting Client Funds
Stoltmann Law Offices is investigating misconduct reported by FINRA alleging that Kristian Gaudet of Cut Off, Louisiana, utilized customer funds for personal use. According to his publicly available FINRA BrokerCheck Report, FINRA initiated an investigation into Mr. Gaudet on November 30, … Continue reading →
Posted in Securities Law
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Tagged Ameritas, Barred, Broker, Client, Converting, Former, Funds, Gaudet, Kristian
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Advisor Noel Carino Barred by Regulator Over Unapproved Products
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Noel Carino (Carino), formerly associated with General Securities Corp., in November 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling … Continue reading →
Posted in Securities Law
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Tagged Advisor, Barred, Carino, Noel, over, Products, regulator, Unapproved
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Charla Kabana Barred From the Securities Industry Over Variable Annuity Sales Practices
According to BrokerCheck records financial advisor Charla Kabana (Kabana), formerly employed by SagePoint Financial, Inc. (SagePoint) has been subject to one regulatory action, one one employment termination for cause, and multiple financial disclosures during her career. According to records kept … Continue reading →
Posted in Securities Law
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Tagged Annuity, Barred, Charla, industry, Kabana, over, practices, Sales, Securities, variable
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