Tag Archives: Barred

As Trial Opens Against RJR, Attorneys Argue Whether Smoker's Heart Disease Claim Is Time Barred

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Advisor Alex Herrera Barred Over Sale of Unapproved Products

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Alex Herrera (Herrera), formerly associated with UBS Financial Services Inc. (UBS) in Coral Gables, Florida was barred by FINRA.  In the regulatory action FINRA claimed that … Continue reading

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Lawsuit Against NJ Officials Barred; Any Award For Wrongly Denied Medicaid Benefits Would Require Retroactive Payments

A U.S. district court held that a claim by Medicaid applicants against New Jersey officials for wrongly denying their applications is barred by the Eleventh Amendment because it would require the state to pay retroactive benefits. Radogna v. Connolly (U.S. Dist. … Continue reading

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Bradley Tennison Discharged and Barred By FINRA After Selling Away Allegations

Bradley Joseph Tennison (CRD #1561988) is a former registered broker and investment advisor who has recently been barred by FINRA. He was last registered with Genos Wealth Management of Mesa, AZ. He was previously employed with Oberlin Financial Corp. (CRD … Continue reading

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Appellant’s Claim Barred Due to Res Judicata, Collateral Estoppel

Matter of A. NY Slip Op 05842 The co-executor of the estate petitioned the court pursuant to 2103 to determine if certain funds were withheld from the estate of A. This appeal is from 2 Surrogate Court orders brought by … Continue reading

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