Tag Archives: Unapproved

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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Advisor Dexter Thomas Accused of Engaging in Client Loans and Unapproved Securities

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Dexter Thomas (Thomas), formerly associated with United Planners Financial Services of America LP (United Planners) in Dallas, Texas has been accused by his former firm over … Continue reading

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OEM Parts Can Be Unapproved Parts

Just because the part is identified as an "OEM part" doesn't mean that it is an approved part! Check into the production approval basis, carefully. Continue reading → Read more detail on Recent Aviation Law posts –

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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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