Tag Archives: Unapproved

Advisor Dudley Stephens Accused of Churning and Unapproved Product Sales

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dudley Stephens (Stephens), formerly associated with Coastal Equities, Inc. (Coastal Equities), in September 2018, was sanctioned and barred from the securities industry by FINRA due to failures … Continue reading

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Competitor can't stop allegedly false promotion of unapproved substances bearing CYA "not for human use" warnings

Nutrition Distribution LLC v. Pep Research, LLC, 2019 WL 652391, No. 16cv2328-WQH-BLM (S.D. Cal. Feb. 15, 2019)Nutrition Distribution sued Pep for false advertising under the Lanham Act, alleging that its competitor, a supplement company, falsely advertised certain prescription-only drugs and … Continue reading

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Advisor George McCaffrey Accused of Selling Unapproved Products to Clients

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor George McCaffrey (McCaffrey), formerly associated with NTB Financial Corporation (NTB Financial), in September 2018, was sanctioned and suspended from the securities industry by FINRA over accusations of … Continue reading

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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

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Former Cetera Advisors Broker Scott Kozak Accused of Selling Unapproved Securities

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Scott Kozak (Kozak), formerly associated with Cetera Advisors LLC (Cetera) in Highlands Ranch, Colorado has been accused by his former firm and barred by FINRA over … Continue reading

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