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The Financial Industry Regulatory Authority (FINRA) recently barred David Ferwerda of Grand Rapids, Michigan from the securities brokerage industry after he refused to cooperate with the self regulator’s investigation into allegations that he sold unregistered securities issued by the Woodbridge Group of Companies. Ferwerda was fired from his position as a registered representative of Signator Investors…
Stock broker David Fageson of Boca Raton, Florida has been suspended by the Financial Industry Regulatory Authority after an investigation by the regulator led to findings that Fageson “engaged in quantitatively unsuitable trading in the accounts of three senior customers.” One of the customer’s accounts allegedly lost $283,314, while generating more than…
Stock broker Ron Johnston of Daytona Beach, Florida recently settled two customer disputes involving allegations that he engaged in unauthorized training and misrepresented or omitted material facts in connection with the sale of securities. Until February 9, 2019, Johnston was a registered representative of the brokerage firm Merrill Lynch. Unauthorized…
Jeffrey Howard Palish has been barred from the securities brokerage industry by the Financial Industry Regulatory Authority after a regulatory investigation led to findings that Palish “converted more than $180,000 from his member firm’s elderly customer, by receiving the money from the customer for his personal use and accepting the…