Tag Archives: FINRA

FINRA Sanctions Against Oppenheimer & Co.

The Financial Industry Regulatory Authority (FINRA) sanctioned Oppenheimer & Co. Inc. more than $3.4 million in November of 2016 due to Oppenheimer’s failing to report required information to FINRA, failing to produce documents in discovery to customers who filed arbitrations, … Continue reading

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FINRA Bars Broker Herbert Voss, Jr. After Allegations of Unauthorized Trading

Herbert Voss, Jr. (CRD #1014475) is a previously registered broker and investment advisor, whose was last registered with StockCross Financial Services, Inc. (CRD #6670) of Beverly Hills, CA. His previous employers include UBS Financial Services Inc. (CRD #8174), also of … Continue reading

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FINRA Bans Broker Ramon Herrera

Ramon Arturo Herrera (CRD #6021170) is a former registered broker and investment advisor, barred by FINRA. His last registered employer was Wells Fargo Clearing Services, LLC (CRD #19616) of Union City, NJ. A customer dispute was filed by a client’s … Continue reading

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Can FINRA Protect Investors from Financial Advisor Misconduct ?

New Study says 1 in 10 Advisors – History of Severe Financial Advisor Misconduct According Financial IQ a recent study, ’The Market for Financial Advisor Misconduct,’ to be published in the Journal of Political Economy, says that one in ten … 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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