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Stockbroker Roger Owens of Elkton, Maryland has been suspended from working in the securities brokerage industry by industry self-regulator FINRA after an investigation by the regulator led to findings that Owens had violated securities laws by recommending unapproved private securities transactions involving Woodbridge promissory notes. Lamont allegedly raised $1,170,000 for the Woodbridge Group of Companies and personally received $59,471…
Former stockbroker Daniel Maughan of Los Angeles, California was recently named a respondent in a FINRA complaint alleging that he churned and excessively traded a customer’s trust account at his member firm. The complaint alleges that by churning the customer’s trust account, Maughan willfully violated Section 10(b) of the Exchange Act…
Stefan Pastor of Fort Lauderdale, Florida has been barred from working in the securities brokerage industry by industry self-regulator FINRA after the regulator discovered that Pastor had been engaging in unauthorized trading in customer accounts and sending fake and falsified documentation to customers. Unauthorized Trading It is a violation of…
Jack Stone of Forest Hill, Illinois has been barred from working in the securities brokerage industry by industry self-regulator FINRA after he failed to cooperate with the regulator’s investigation into allegations that he made misrepresentations to customers, and engaged in unauthorized trading in customer accounts. In addition, Stone is involved…